Senior Consultant in Finance and Accounting Advisory Services providing technical and strategic financial guidance. Supporting clients with financial planning, reporting, and policy implementation.
About the role
- Senior Analyst shaping compliance and oversight in financial planning at LPL Financial. Collaborating with stakeholders to develop solutions and improve processes in a dynamic environment.
Responsibilities
- Assist in developing new policies and drafting desktop procedures and written supervisory procedures
- Research and respond to financial planning inquiries from other departments and financial advisors
- Perform compliance and risk-based reviews of financial planning and consulting activities and document outcomes
- Design and implement new oversight controls, considering impacts on other teams and financial advisors
- Drive collaboration across stakeholders to lead projects, initiatives, and decisions to successful execution, with manager support
- Partner across the firm to advance projects and remove roadblocks
- Gather feedback from financial advisors, stakeholders, and partners, translating insights into actionable recommendations
- Establish and maintain effective working relationships with all stakeholders
Requirements
- Bachelor’s Degree with a minimum of 5 years of financial services industry experience
- Strong knowledge of financial planning and investment advisory services
- Proficient in Microsoft Office and web-based applications
- CFP Series 7, 66 (or 63 and 65), 24 (or 9 and 10) or willingness to obtain within 120 days
- Excellent relationship management skills
- Extensive knowledge and experience interpreting the Investment Advisors Act
Benefits
- 401K matching
- health benefits
- employee stock options
- paid time off
- volunteer time off
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