Program Compliance Associate Analyst at LPL Financial in Fort Mill, SC

Summary: LPL Financial is among the fastest growing wealth management firms in the U.S., and they are seeking a Program Compliance Associate Analyst to support functions within Program Compliance. This role involves assisting with reporting, data gathering, and ensuring compliance with regulations relating to elder financial exploitation. Responsibilities: - Monitor and support the department group mailbox (SIP and CET), manage new case intake, including review for completeness and entry into Mantas - Respond to advisors with additional state specific information, general information requests - Assist management with any ad hoc projects or initiatives including but not limited to general QC of offshore team, QC of completed SIP team cases, decks or report pulls for CET - Provide clear and effective communication with financial advisors, relationship managers, branch associates and others as needed - Support relationships building with internal business partners such as Supervision, Legal, AML, and Investigations to coordinate reviews and enhance advisor experience - Participate in trainings that may include webinars, periodicals, and self-study in order maintain knowledge of applicable laws and regulations, specifically relating to elder financial exploitation Required Qualifications: - Bachelor's Degree and/or equivalent experience preferred - Strong excel skills, experience with Smartsheet helpful - Regulatory Compliance, working knowledge of FINRA Rule 4512 - FINRA Rule 2165, and state laws relating to identifying and reporting elder financial exploitation helpful - Professional licenses/certifications (i.e., FINRA Series 7, CAMS, CFE) preferred - Critical thinking - Time Management - Decision Making - Case Management - Written and oral communication - Presentation and reporting skills Required Skills: Excel, Smartsheet, Regulatory Compliance, FINRA Rule 4512, FINRA Rule 2165, State laws on elder financial exploitation, FINRA Series 7, CAMS, CFE, Written, Decision Making Benefits: 401K matching, Health benefits, Employee stock options, Paid time off, Volunteer time off