Sr. Compliance Specialist, Electronic Correspondence

Overview

Review electronic communications for compliance, regulatory and policy concerns, supporting the firm's supervisory and compliance programs at LPL's Global Capability Center in Hyderabad.

What you'll do

• Review electronic communications for potential compliance, regulatory, and policy-related concerns.
• Escalate issues, exceptions, and risk indicators in a timely manner.
• Maintain productivity and quality standards while supporting supervisory review activities.
• Partner with internal stakeholders to resolve inquiries and support business needs.
• Contribute to process improvement initiatives that enhance efficiency and risk management.
• Remain current on firm policies, procedures, and industry regulations.
• Provide cross-functional support and assist with team projects as needed.

What you'll need

• 3-5 years of experience in risk, compliance, legal and financial services.
• Bachelor's degree required.
• Good analytical and problem-solving skills with exceptional attention to detail.
• Ability to identify risks and exercise sound judgment when escalating issues.
• Good written and verbal communication skills.
• Ability to manage multiple priorities in a high-volume environment.
• Collaborative mindset with a commitment to continuous improvement and service excellence.

Nice to have

• Financial services, compliance, supervision, operations, or risk management experience preferred.
• Proficiency with Microsoft Office applications, particularly Excel, PowerPoint, and SharePoint.
• Experience with Smartsheet or similar workflow tools is a plus.

Details

• Location: Hyderabad.
• Candidates should be flexible to work across shifts, including U.S. business hours, based on business requirements.