Sr. Analyst, Accounting & Equity Administration (Hybrid)

Location: Fort Mill, SC

Where Ambition Meets Innovation

Build a career that matches all your initiative with an impressive dose of innovation. From cutting-edge resources and a collaborative environment to the freedom to make an impact and more, you’ll find the ingredients you need at LPL Financial to shape your success while helping clients pursue their financial goals.

Job Overview

LPL’s Compliance organization is currently looking for a Compliance Analyst within the Control Room. If you are an individual who has a drive to deliver exceptional results, be part of a highly motivated team and are passionate about the work you do, this may be the right role for you!

The Control Room at LPL Financial operates within the Compliance organization and serves as the firm’s central point for managing material nonpublic information (MNPI) and monitoring trading activities to detect conflicts of interest. The Control Room's primary mandate is to safeguard the integrity of sensitive information coming into and moving throughout the firm to prevent and/or manage potential or actual conflicts of interest.

The Analyst will be a key member of the team ensuring both LPL employees and advisors are adhering to SEC and FINRA regulatory requirements related to our firms Code of Ethics, Personal Trading Policies, Pay to Play and other regulatory requirements.

Responsibilities

Equity Administration: Manage ESPP program activities, including participant inquiries, enrollment, quarterly communications, and purchase reconciliation.

Reporting & Compliance: Prepare and analyze monthly, quarterly, and annual equity reports; support SEC filings (Form 4) and annual proxy reporting for executive equity holdings.

Technical Accounting: Draft technical accounting memos, research standards, and assist with SOX compliance and regulatory controls.

Process Improvement: Drive strategic projects to streamline processes, leverage technology for automation, and enhance operational efficiency.

Executive Support: Prepare annual equity statements, assist with dividend payments, and provide administrative support for executive equity functions.

Please note: Additional responsibilities or duties may be assigned to you as needed or determined.

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

BA/BS degree in Accounting, Finance, or a related field

1 to 2 years of relevant experience in corporate finance, accounting, or public accounting

Core Competencies

• Analytical & Creative Thinking: Ability to analyze complex data and develop innovative solutions.
• Communication Skills: Strong written, verbal, and presentation abilities for interaction across all levels.
• Project & Process Management: Proven ability to manage projects and implement process improvements.
• Attention to Detail: High level of accuracy with a big-picture perspective.
• Team Collaboration & Initiative: Positive attitude, integrity, and ability to work independently and within a team.

Preferences

CPA license

Experience with equity plan administration systems such as Fidelity Plan Sponsor Webstation (PSW)

#LI-PA

Pay Range

$76,941.00 - $128,235.00

Actual 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) is among the fastest growing wealth management firms in the U.S. As a leader in the financial advisor-mediated marketplace(6) , LPL supports over 32,000 financial advisors and the wealth management practices of approximately 1,100 financial institutions, servicing and custodying approximately $2.3 trillion in brokerage and advisory assets on behalf of approximately 8 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. For further information about LPL, please visit www.lpl.com.

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 www.lpl.com.

Join the LPL team and help us make a difference by turning life’s aspirations into financial realities. Please log in or create an account to apply to this position. Principals only. EOE.

Information on Interviews

LPL will only communicate with a job applicant directly from an @lplfinancial.com email address and will never conduct an interview online or in a chatroom forum. During an interview, LPL will not request any form of payment from the applicant, or information regarding an applicant’s bank or credit card. Should you have any questions regarding the application process, please contact LPL’s Human Resources Solutions Center at (855) 575-6947.

EAC 5.19.26