Examiner

What if you could build a career where ambition meets innovation? At LPL Financial, we empower professionals to shape their success while helping clients pursue their financial goals with confidence. What if you could have access to cutting-edge resources, a collaborative environment, and the freedom to make an impact? If you're ready to take the next step, discover what’s possible with LPL Financial.

Job Overview:

The Examiner position is responsible for independently conducting announced and unannounced on-site inspections of assigned LPL Financial branch offices. The branch exams are focused on the sales practices of each individual advisor and the books and records requirements of each office to ensure adherence to compliance with all applicable regulations. The examiner will consult with branch managers, advisors and support staff and provide direction on maintaining branch offices in accordance with federal and state regulations, FINRA and other SRO regulations and LPL Financial policies and procedures. This is a remote, home-based position which requires 50% travel and overnight stays will be required.

Responsibilities:

• Responsible for independently performing all functions of branch exams, including thorough on-site evaluation of branch activities to assess/monitor compliance with company policies and procedures as well as applicable federal and state laws and regulations             

• Conduct in-person consultations with branch manager, advisors and support staff.

• Prepare audit letter based on deficiencies identified during branch exam and provide instructions, both verbally and in writing, to correct deficiencies and operate an office that is in compliance with all regulations. Branch exam deficiencies and investigative findings are reported to branch managers and all levels of management. 

• Accountable for planning and preparation of pre-audit material, scheduling of exams, travel arrangements and managing associated expenses.

Other Job Duties: 

• Test computers for compliance with specific security standards and conduct investigative reviews of computer content.

• Act as internal business partner to other business units, including relationship managers and designated principals, to address issues and provide feedback.

• Confidently present and articulate the work performed during branch exams during arbitration matters, to regulators and others. 

• Remain current with FINRA and state regulatory issues as well as the company’s own written compliance policies and procedures.

• Participate in groups and/or committees for special projects to enhance audit processes and broader firm initiatives.  

What are we looking for?

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.

Job Requirements:

• Minimum Education Required:  Bachelors Degree or equivalent industry experience required.

• Minimum Experience Required:  5+ years industry experience, preferably auditing and/or compliance experience.

• Licenses/Certifications Preferred: Series 7, 24 and 63.  Additional licenses are a plus.

• Proficient in Microsoft applications. 

• Technical skills sufficient to test computers for security and controls of Windows and other applications and conduct investigative review of computer content.                                                                        

• Ability to travel frequently and on short notice.

• Travel/audits require the carrying of luggage and audit paperwork (approx. lifting at least 40 pounds)

• Professional demeanor to represent LPL in a client facing role and across all levels within and outside the organization. 

• Must be detail oriented, have an inquisitive nature, strong organization skills and time management skills with the ability to meet deadlines in a fast paced environment.

• Demonstrated ability to perform investigative, analytical and interviewing functions and clearly document work performed.

• Superior written and verbal communication skills.

• Proven ability to work independently, self-motivate and work in a remote environment.

• Strong working knowledge of regulatory rules and LPL Financial policies and procedures.

#LI-PA

 

Pay Range:

$63,600-$106,000/year
 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, designed to support your success at work, at home, and at play – such as 401K matching, health benefits, employee stock options, paid time off, volunteer time off, and more. Your recruiter will be happy to discuss all that LPL has to offer!
 

Company Overview:

LPL Financial Holdings Inc. (Nasdaq: LPLA) was founded on the principle that the firm should work for advisors and institutions, and not the other way around. Today, LPL is a leader in the markets we serve, serving more than 23,000 financial advisors, including advisors at approximately 1,000 institutions and at approximately 580 registered investment advisor ("RIA") firms nationwide. We are steadfast in our commitment to the advisor-mediated model and the belief that Americans deserve access to personalized guidance from a financial professional.

At LPL, independence means that advisors and institution leaders have the freedom they deserve to choose the business model, services, and technology resources that allow them to run a thriving business. They have the flexibility to do business their way. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors and institutions, so they can take care of their clients.

Join LPL Financial: Where Your Potential Meets Opportunity

At LPL Financial, we believe that everyone deserves objective financial guidance. As the nation’s leading independent broker-dealer, we offer an integrated platform of cutting-edge technology, brokerage, and investment advisor services.

Why LPL?

• Innovative Environment: We foster creativity and growth, providing a supportive and responsive leadership team. Learn more about our leadership team here!

• Limitless Career Potential: Your career at LPL has no limits, only amazing potential. Learn more about our careers here!

• Unified Mission: We are one team on one mission—taking care of our advisors so they can take care of their clients. Learn more about our mission and values here!

• Impactful Work: Our size is just right for you to make a real impact. Learn more here!

• Commitment to Equality: We support workplace equality and embrace diverse perspectives and backgrounds. Learn more here!

• Community Focus: We care for our communities and encourage our employees to do the same. Learn more here!

• Benefits and Total Rewards: Our Total Rewards package goes beyond just compensation and insurance. It includes a mix of traditional and unique benefits, perks, and resources designed to enhance your life both at work and at home. Learn more here!

Join the LPL team and help us make a difference by turning life’s aspirations into financial realities. Please log in or create an account to apply to this position. Principals only. EOE.

Information on Interviews:

LPL will only communicate with a job applicant directly from an @lplfinancial.com email address and will never conduct an interview online or in a chatroom forum.  During an interview, LPL will not request any form of payment from the applicant, or information regarding an applicant’s bank or credit card.  Should you have any questions regarding the application process, please contact LPL’s Human Resources Solutions Center at (855) 575-6947.

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