Manager, Trading Compliance

For the 10th year in a row, LPL Financial Services (LPL) has been named America"&tm;s number one independent brokerage firm*. Formed in 1989 through the merger of two small but successful brokerage firms, Linsco and Private Ledger, our firm continues to be an industry leader. Both a pioneer and innovator in the financial services arena, LPL manages over $95 billion in assets through its nationwide network of financial advisors. With dual headquarters in Boston and San Diego, we support over 6,000 financial advisors in more than 3,500 branch offices. The focus of our firm has always been on our advisors and our commitment to help them grow their business. In addition to providing independent research and operational support, LPL also leads the way on the technology front, offering innovative investment platforms that automate time-consuming functions. LPL"&tm;s technology streamlines business processes for advisors, freeing up their time to focus on what they do best "" provide sound financial advice and services to their clients.

LPL is a company for talented people who thrive in a dynamic, challenging and growth-oriented environment. You are invited to consider an opening for a Manager, Trading Compliance in our San Diego office:

LPL has a full time position available in the Internal Compliance Department. Under minimal supervision, the qualified candidate will help to ensure compliance with applicable industry rules (State, NASD, SEC, MSRB regulations) and company policies. The position requires extensive knowledge of equities, options and fixed income trading regulations. Responsibilities include monitoring securities regulations, specifically trade and trade reporting requirements, as well as drafting related policies and procedures. Also responsible for trade surveillance of equities, options, fixed income products and mutual funds, conducting suitability reviews of transactions, answering trading compliance questions and filing periodic securities reports. The candidate should be detail-oriented; motivated with 3-5 years financial services industry experience, previous experience supervising a small staff and possess excellent analytical and communication skills. Series 4, 7, 24 and 53 registrations are required within 90 days of employment

Required Skills:
We offer an excellent salary and benefits package. Please login or create an account to apply to this position. Principals only. EOE


*Based on revenues, as reported in Financial Planning magazine, 1996-2005.





Please Click Here to Apply for this job