Compliance Analyst will have overall responsibility in supporting various regulatory compliance initiatives (with particular focuses on P2P, payment system provider (PJP) and multifinance businesses) and ensuring that all compliance requirements are met – this includes:

• Supporting  regulatory licenses matters, set up compliance framework & guidelines, including anti-bribery & corruption, external vendor compliance management, data privacy;
• Managing regulatory engagement with relevant authorities and ensuring compliance with mandatory reporting requirements to regulators;
• Ensuring the delivery of timely, accurate, and commercially practical reporting to the regulator (s) and recommendations on licensing, regulatory and counter-party risk for business;
• Performing report on gap analysis on each prevailing regulation in relation to the group businesses;
• Incident management (e.g. responding to regulatory investigations / inspections by authorities;
• Ensuring compliance with regulatory requirements on regular basis.

• Experienced compliance officer with minimum of 2 years PQE;
• Ideal candidate would have a mix of (i) prior in-house experience in the bank and financial services sector (preferably a P2P, licensed e-money / wallet operator in Indonesia) and (ii) private practice experience in law firms;
• Demonstrable track-record in compliance matters;
• Extensive experience in interacting with regulators, particularly with OJK Fintech and Bank Indonesia;
• Fluent in English is a must;

• Excellent drafting, negotiation, and communication skills;
• Strong stakeholder management skills, with the ability to work collaboratively with cross-functional teams and build relationships at all levels of the organization;
• Display commercial acumen and the ability to balance legal considerations with business objectives;
• Exceptional analytical and problem-solving skills, with attention to detail;
• Ability to work independently, prioritize tasks, and manage multiple projects simultaneously;
• Demonstrated professionalism, integrity, and discretion in handling confidential information.

Are you a team player? Are you curious to learn? Are you interested in working in meaningful projects? Do you want to work with cutting-edge technology? Are you interested in being part of a team that is working to transform and do things differently? If so, LPL Financial is the place for you!

We are currently looking to hire a Supervisory Principal on the Advisor Review team in Supervision within the Client Success Organization. The Advisor Review Supervisory Principal is a first line defense function responsible for the reviews of high-risk representatives wishing to join LPL Financial, reviews of Outside Business Activity and Private Securities Transaction Requests for advisors as well as “day one” marketing materials for new offices joining LPL Financial. The Supervisory Principal will work closely several departments/groups throughout LPL.

Responsibilities:

• First line supervisory responsibility to conduct due diligence review on prospective representatives of LPL Financial.
• Review requests for Outside Business Activities & Private Securities Transactions submitted by advisors.
• First line supervisory responsibility to conduct due diligence review on Office Sharing Arrangements
• Review “day one” marketing materials (letterhead, business cards etc.…) for new offices to LPL
• Interact with advisors, business consultants and various internal departments as well as senior levels of management in fully evaluating and communicating compliance determination, as well as coordination of special projects and investigations.
• Work with assigned business units and provide supervisory expertise and consulting for projects and initiatives.
• Assist with regulatory exams and requests as well as assist with other internal investigations and reviews.
• Perform other duties and complete ad hoc projects as assigned.

Requirements:

• Licenses/Certifications Required: FINRA Series 7, Series 24, Series 63 (or 66)
• Undergraduate degree in Business, Accounting, Finance or related discipline preferred.
• Minimum of 3-5 years industry experience
• Experience with Adobe, 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.

 

Pay Range:

$62,200-$93,300/year

 

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!

 

Why LPL? 

At LPL, we believe that objective financial guidance is a fundamental need for everyone. As the nation’s leading independent broker-dealer, we offer an integrated platform of proprietary technology, brokerage, and investment advisor services. We provide you with a work environment that encourages your creativity and growth, a leadership team that is supportive and responsive, and the opportunity to create a career that has no limits, only amazing potential.

We are one team on one mission. We take care of our advisors, so they can take care of their clients.

Because our company is not too big and not too small, you can seize the opportunity to make a real impact. We are committed to supporting workplace equality, and we embrace the different perspectives and backgrounds of our employees. We also care for our communities, and we encourage our employees to do the same. This creates an environment in which you can do your best work.

Want to hear from our employees on what it’s like to work at LPL?  Watch this!

We take social responsibility seriously. Learn more here

Want to see info on our benefits?  Learn more here

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.

At HCSC, we consider our employees the cornerstone of our business and the foundation to our success. We enable employees to craft their career with curated development plans that set their learning path to a rewarding and fulfilling career.

Come join us and be part of a purpose driven company who is  invested in your future!

Job Summary

This position is responsible for planning and conducting detailed audits, applying premium to groups, analyzing discrepancies, collaborating with Account Management and Sales, conducting training and managing projects related to quality. Review new business, changes, terminations, customer telephone calls, billing, premium application, and commission processes to assure that: a) Internal controls and Model Audit Rule requirements are adhered to, and b) Processing is performed timely, accurately, and completely in the appropriate systems.

JOB REQUIREMENTS:

• Bachelor’s degree or equivalent of 4 years of group disability insurance industry job experience.

• Analytical and research skills.

• Disability knowledge of NAIC, ERISA, and state regulations.

• Technical claims expertise and accuracy in product knowledge of life, AD&D, STD, and LTD.

• Technical claims expertise and accuracy in knowledge of group life and disability contracts.

• Ability to work independently and within a team environment.

• Applies best practices and knowledge of internal/external business challenges to improve products, processes, or services.

• Solves complex problems; takes a new perspective on existing solutions to improve performance and efficiency.

• Works to build consensus with internal/external peers in customer, and/or regulatory organizations.

• Proven ability to work well in a high visibility environment.

• Clear and concise written and verbal communication skills.

• Experience in making complex decisions independently, with minimal supervision.

• Organizational and multi-tasking skills to manage daily work load and meet aggressive deadlines and timetables.

• Knowledge of state contract provisions.

• Knowledge with sold case materials, departmental documents.

• PC proficiency to include Word, Excel and lotus Notes.

• Ability to demonstrate flexibility.

• Ability to effectively manage conflict.

• Ability to provide direct and candid feedback effectively while maintaining strong partnerships.

PREFERRED JOB REQUIREMENTS:

• 1 year of experience in the FDL environment.

• Experience with the following systems: Genelco, Enterprise Content Management (ECM), EAS, DCS, STAR

• Minimum of 2 years of Group Disability claims adjudication background.

We encourage people of all backgrounds and experiences to apply. Even if you don’t think you are a perfect fit, apply anyway - you might have qualifications we haven’t even thought of yet.

**Please note that this role requires that you work in office at least 3 days a week

Are you being referred to one of our roles? If so, ask your connection at HCSC about our Employee Referral process!

HCSC Employment Statement:

HCSC is committed to diversity in the workplace and to providing equal opportunity and affirmative action to employees and applicants. We are an Equal Opportunity Employment / Affirmative Action employer dedicated to workforce diversity and a drug-free and smoke-free workplace. Drug screening and background investigation are required, as allowed by law. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or protected veteran status.

Nelsons is the UK’s largest manufacturer of natural healthcare products, operating in the market place for over 150 years with a wide range of brands and products; inspiring generations to live healthier and happier lives. We are proud of our brands - RESCUE range, Bach Original Flower Remedies, Spatone, Nelsons Arnicare, Nelsons Teetha, Nelsons creams including Calendula – which are distributed worldwide to over 60 countries.

The QC Analyst is a key member of the Quality Control department and actively participates in all QC related activities. This is a busy role within a fast-paced department; therefore, the QC Analyst will need to be flexible and a team-player.

Responsibilities:

• Ensure all training relevant to the position and required tasks are completed and kept up to date. Use assigned initials within cGMP environment
• All documentation relating to Nelson’s products are kept within Quality Management System (QMS) and adhere to Data Integrity (see POL-002)
• Understanding and adhering to cGMP environment requirements
• Sample and test all incoming raw materials according to in-house specifications and methods of analysis
• Test all finished products according to approved in-house specifications and methods of analysis including Spatone as required by the approved SOP
• Carry out environmental monitoring.
• Ensure that all laboratory tasks are performed in keeping with Good Manufacturing Practices and ensure that the laboratory is maintained in a clean and tidy condition.
• Support validation activities in the lab - equipment and methods.
• Carry out line checks on production activities and perform the relevant in-process checks, ensuring that such activities are in compliance with Good Manufacturing Practices.
• Perform analyses, examinations or investigations as required.
• Collect results from third party lab as required
• Contribute to the investigation of consumer complaints as required.
• Ensure all data is stored and managed correctly
• Ensure any out-of-specification results (OOS) are investigated as per the relevant SOP
• Ensure all required retained samples are managed correctly
• Ensure that all chemical and consumable supplies are maintained in a safe condition
• Ensure the working environment is maintained in a clean and a safe condition
• Liaise effectively with staff from other departments
• Update documents as required
• Involvement in other QMS responsibilities as required as part of personal development

We would love you to have

• Education / Qualifications Degree level or above in a Science subject
• Experience in an analytical laboratory
• Ability to use work instructions and specifications for testing of products and raw materials
• A good appreciation of Good Manufacturing Practice
• Strong report writing skillls

Bonus if you have

• Basic knowledge of microbiology
• Experience or knowledge of HPLC and GC techniques
• Experience or knowledge of TLC techniques
• Experience of pharmaceutical production processes for tablets, liquids and creams