Plans examiner Jobs in Gilbert, AZ

Job Overview :

Our Senior Branch Auditors 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 Senior Branch Auditor 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 Hybrid position in Tempe, Arizona (some on-site presence required) which includes required travel and proximity to a regional airport location.

Responsibilities :

Responsible for independently performing all functions of branch examination, including thorough evaluation of branch activities, to proactively determine whether a branch office is in compliance with regulatory requirements , escalate risk and use sound judgement to know when to "ask the next question" as potential risk areas are found and to assess / monitor compliance with company policies and procedures as well as applicable federal and state laws and regulations (may be onsite or virtual depending on the needs of the business).

Conduct virtual and / or in-person consultations with branch manager, advisors, and support staff.

Responsible for producing quality audit letters and work-papers that thoroughly document the required testing; ability to work and make independent decisions, under pressure on multiple tasks concurrently and meet deadlines.

Use all company-provided tools and systems required to perform thorough audit and document findings in detail.

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

Collaborate with peers and management to streamline processes and create efficiencies for the department.

Assist with the training and mentorship of Branch Auditors who are newer to the role.

Lead large and more complex branch examinations, including those that require multiple Branch Auditors.

What are we looking for?

We want strong collaborators who can deliver a world-class client experience. We are looking for people who thrive in a fast-paced environment, are client-focused, team oriented, and are able to execute in a way that encourages creativity and continuous improvement.

Requirements :

Ability to work in a self-directed environment working remotely from your primary residence.

Education : Bachelor's degree (B.A. / B.S.) and minimum of 7 years of branch audit or compliance experience in the financial services industry.

Securities Industry Essentials (SIE) required.

Possibility of some domestic travel (up to 50%) which will require the carrying of luggage and audit paperwork (approx. lifting at least 40 pounds).

Core Competencies :

Able to effectively leverage resources and navigate the organization to obtain information and achieve objectives.

Proven track record for working independently, meeting job responsibilities, and detail orientation.

Professional demeanor with excellent communication skills and an ability to represent LPL in a client-facing role and across all levels within and outside the organization.

Proficient in Microsoft applications (Word, Excel, Outlook).

Skilled in building relationships and collaborating with business partners.

Must have excellent customer service skills, be a consultative partner, and be able to communicate effectively with individuals at various levels, both verbal and written.

Ability to proactively identify risk and use sound judgement to know when to "ask the next question" as potential risk areas are found.

Take initiative and problem solve in a complex environment.

Preferences :

Series 7 and Series 24 licenses

LI-PA

Pay Range :

73,725-$122,875 / yearActual 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.