Sr. Compliance Specialist, Electronic Correspondence

Where Ambition Meets Innovation

At LPL’s Global Capability Center, you'll find a collaborative culture where your voice matters, integrity guides every decision, and technology fuels progress. Your skills, talents, and ideas will redefine what's possible. LPL's success reflects its exceptional employees, who together pursue one noble purpose: empowering financial advisors to deliver personalized advice for all who need it. We’re proud to be expanding and reaching new heights in Hyderabad.

Join us as we create something extraordinary together.

Job Overview:

The Senior Electronic Correspondence (eComm) Specialist supports the firm's supervisory and compliance programs through the review of electronic communications. This role helps ensure client-facing and internal correspondence complies with regulatory requirements, firm policies, and supervisory standards.

The ideal candidate is detail-oriented, analytical, and thrives in a fast-paced environment where risk awareness, sound judgment, and collaboration are critical.

Responsibilities:

• 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.

Requirements:

• 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.
  

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.

Preferences:

• 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.

Core Competencies:

• Client focus and service excellence
• Analytical thinking and problem solving
• Risk awareness and sound decision making
• Communication and collaboration
• Adaptability and continuous improvement
• Accountability and ownership

Working Conditions:
 

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

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