Senior Analyst, Sponsor Compliance

Where Ambition Meets Innovation:
Build a career that matches all your initiative with an impressive dose of innovation. From cutting-edge resources and a collaborative environment to the freedom to make an impact and more, you’ll find the ingredients you need at LPL Financial to shape your success while helping clients pursue their financial goals.

The Sponsor Compliance team is looking for a driven, self-motivated individual who is solution-oriented and passionate about delivering results to join the team. The Sr. Analyst will report to the AVP, Sponsor Compliance and will be primarily responsible for reviewing, evaluating and approving sponsor reimbursement submissions from OSJs and financial advisors in connection with expenses incurred through hosting internal training/educational and certain external client events.

The Sr. Analyst will be a key member of the team whose mission is to ensure both LPL employees and financial advisors comply with regulatory requirements, including FINRA Non-Cash Compensation regulations.

Perform comprehensive reviews of required documentation submitted by OSJs, financial advisors and product sponsors to confirm expenses proposed for sponsor reimbursement fully meet firm policies and procedures. Partner with OSJs, financial advisors, product sponsors and LPL Commissions to process approved reimbursements to be paid through the commissions systems. Interact with internal and external partners as needed to provide consultative support and research and resolve issues.

Provide best in class advisor assistance as it relates to reimbursement activities and documentation requirements. Provide support to large institutional clients by guiding sponsor reimbursement and gifts & entertainment requests through established requirements, coordinating with key stakeholders, and resolving complex or escalated matters efficiently. Drive updates to policies and procedures to enhance Sponsor Compliance efforts. Creates and manages advisor support materials, including user guides, Resource Center updates, training resources, procedural documentation, advisor one-pagers, and required forms.

Provides training sessions and educational presentations for advisor offices, supervision teams, and internal business partners through virtual platforms as needed. Track work internally for individual and team operational performance metrics. Provide reporting on an as needed basis for trend analysis and oversight.

We’re looking for strong collaborators who deliver exceptional client experiences and thrive in fast-paced, team-oriented environments. Our ideal candidates pursue greatness, act with integrity, and are driven to help our clients succeed. We value those who embrace creativity, continuous improvement, and contribute to a culture where we win together and create and share joy in our work.

Bachelor’s Degree in Finance, Business Administration or related. Minimum 3+ years working within compliance programs in the financial services industry. Intermediate experience with Excel and Powerpoint.

• Excellent analytical, organizational, and problem-solving skills
• Strong written and verbal communication abilities
• Ability to manage multiple priorities in a fast-paced environment
• Proficiency with Microsoft Office Suite (Excel, PowerPoint, Word) and Share Point
• Collaborative mindset and a passion for continuous improvement

$75,293.00 - $ Actual base salary varies based on factors, including but not limited to, relevant skill, prior experience, education, base salary of internal peers, demonstrated performance, and geographic location.

Additionally, LPL Total Rewards package is highly competitive,…