Urgent! Sr Examiner - Local Job Opening in Tempe
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 office based position in our Tempe, Arizona office with the requirement for travel and a 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’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.
Requirements:
Ability to work in a self-directed environment working remotely from your primary residence.
Possibility of some domestic travel (up to 50%) which will require the carrying of luggage and audit paperwork (approx.
lifting at least 40 pounds).
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.
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.
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.
Preferences:
Series 7 and Series 24 licenses strongly preferred.
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.Company Overview:
LPL Financial Holdings Inc.
(Nasdaq: LPLA) is among the fastest growing wealth management firms in the U.S. As a leader in the financial advisor-mediated marketplace.
LPL supports over 29,000 financial advisors and the wealth-management practices of 1,100 financial institution, servicing and custodying approximately $1.9 trillion in brokerage and advisory assets on behalf of approximately 7 million Americans.
The firm provides a wide range of advisor affiliation models, investment solutions, fintech tools and practice management services, ensuring that advisors and institutions have the flexibility to choose the business model, services, and technology resources they need to run thriving businesses.
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.
For further information about LPL, please visit .
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.
✨ Smart • Intelligent • Private • Secure
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Unlock Your Sr Examiner Potential: Insight & Career Growth Guide
Real-time Sr Examiner Jobs Trends in Tempe, United States (Graphical Representation)
Explore profound insights with Expertini's real-time, in-depth analysis, showcased through the graph below. This graph displays the job market trends for Sr Examiner in Tempe, United States using a bar chart to represent the number of jobs available and a trend line to illustrate the trend over time. Specifically, the graph shows 53649 jobs in United States and 75 jobs in Tempe. This comprehensive analysis highlights market share and opportunities for professionals in Sr Examiner roles. These dynamic trends provide a better understanding of the job market landscape in these regions.
Great news! LPL Financial is currently hiring and seeking a Sr Examiner to join their team. Feel free to download the job details.
Wait no longer! Are you also interested in exploring similar jobs? Search now: Sr Examiner Jobs Tempe.
An organization's rules and standards set how people should be treated in the office and how different situations should be handled. The work culture at LPL Financial adheres to the cultural norms as outlined by Expertini.
The fundamental ethical values are:The average salary range for a Sr Examiner Jobs United States varies, but the pay scale is rated "Standard" in Tempe. Salary levels may vary depending on your industry, experience, and skills. It's essential to research and negotiate effectively. We advise reading the full job specification before proceeding with the application to understand the salary package.
Key qualifications for Sr Examiner typically include Business Operations Specialists and a list of qualifications and expertise as mentioned in the job specification. Be sure to check the specific job listing for detailed requirements and qualifications.
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Before the Interview:To prepare for your Sr Examiner interview at LPL Financial, research the company, understand the job requirements, and practice common interview questions.
Highlight your leadership skills, achievements, and strategic thinking abilities. Be prepared to discuss your experience with HR, including your approach to meeting targets as a team player. Additionally, review the LPL Financial's products or services and be prepared to discuss how you can contribute to their success.
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