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Aerotek Outside Business Activity Analyst in San Diego, California

Description:

Analyst

We are currently looking to hire an Analyst within the Advisor Review area of the Business Risk Management department within the Compliance, Legal and Risk (CLR) organization. The Advisor Review Analyst is a first line defense function responsible for the review of high risk representatives wishing to join LPL Financial and review of Outside Business Activity and Private Securities Transaction Requests for advisors. The Analyst will work closely with other departments throughout the onboarding process: Recruiting, Branch Development, New Client Onboarding and Registration Services, as well as several departments throughout LPL for existing Advisors.

Specific areas of responsibility include, but are not limited to:

 Review requests for Outside Business Activities & Private Securities Transactions submitted by advisors

 First line supervisory responsibility to conduct due diligence review on high risk registered representatives before they join LPL

 First line supervisory responsibility to conduct due diligence review on Non-Licensed Associates with prior registration histories, Office Sharing Arrangements, Delegations, and Termination Risk Reviews

 Interacts with advisors, business consultants and various internal departments as well as Sr. levels of management in fully evaluating and communicating compliance determination, as well as, coordination of special projects and investigations

 Works with assigned business units and provides supervisory expertise and consulting for projects and initiatives

 Coordinates high risk profile reviews with the Regional Supervisory Principal in Home Office Supervision

 Identifies suspicious risk profiles and ensures all appropriate information and details are gathered in order to make an appropriate decision

 Assist with regulatory exams and requests as well as assist with other internal investigations and reviews

 Create and analyze departmental metrics to assist to boost overall efficiency and productivity

 Performs other duties and completes ad hoc projects as assigned

Skills:

series 7, Series 24, finra, risk, compliance, branch management, OBA, PST, Series 9, Series 10

Top Skills Details:

series 7,Series 24,finra

Additional Skills & Qualifications:

Qualifications:

 Undergraduate degree in Business, Accounting, Finance or related discipline

 Minimum of 3-5 years industry experience

 Licenses/Certifications Required: Series 7, Series 24

 Experience with all Microsoft applications, particularly, Excel, Word, Access, PowerPoint, SharePoint, and Visio. Familiarity with Salesforce and Oracle a plus

Other Job Duties:

 Ability to work in a fast paced/high volume environment and be flexible with work schedule

 Knowledge of FINRA SEC, and State rules and regulations

 Ability to multi-task, strong attention to detail, excellent problem-solving and follow-up skills are essential for this position

 Excellent oral and written communication skills

 Ability to make regulatory and risk-based decisions will be necessary to complete the day-to-day functions of the role

 Proactive collaboration and service-based responses with business partners on escalated issues and concerns is essential

Experience Level:

Expert Level

About Aston Carter:

Aston Carter is a distinguished global provider of recruitment and staffing services to companies requiring highly specialized business professionals. As a Best of Staffing® Client and Talent leader, Aston Carter has an unrivaled commitment to delivering first class service to clients and business professionals across a variety of disciplines, including Accounting and Finance as well as Governance, Risk and Compliance. With more than 60 offices across Europe, Asia Pacific and North America, Aston Carter provides local, regional and global expertise to drive value and meet our customers' unique needs. Aston Carter is a division of Aerotek. Aerotek is an operating company of Allegis Group, a global talent solutions provider.

The company is an equal opportunity employer and will consider all applications without regards to race, sex, age, color, religion, national origin, veteran status, disability, sexual orientation, gender identity, genetic information or any characteristic protected by law.

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