Why 810 Seven Seventeen Credit Union
FY2024 · Form 990Its mission and biggest programs, as filedHelps members save, borrow, and manage money effectively.
- Dividends and interest paid to approximately 116,000 members on their share accounts, money market accounts, and certificate of deposit accounts.
- Employee labor and benefit costs incurred to support savings services, loan originations, and services the loan portfolio for its members.
- Office expense and data processing expense necessary to support member account and loan activity by providing members access to their accounts via home banking, atm networks, and in person at the Credit Union offices.
Before you apply
FY2024 · Form 990Independent: from IRS data, not the orgAbout the role
The org's own posting, as writtenWhere 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
The Analyst will review submissions from advisors and employees to ensure compliance with LPL Policy. The candidate will play a critical role in ensuring LPL is meeting certain regulatory requirements. Responsibilities of the Analyst include, but are not limited to: Perform comprehensive reviews of personal trading accounts disclosed by associated persons of LPL to ensure compliance with our Outside Investment Account and Personal Trading Policies. Work directly with broker dealers to ensure we have appropriate electronic data feeds set up or duplicate statements where applicable for personal trading accounts held away from LPL.
Partner with OSJs, financial advisors and LPL managers to ensure new LPL advisors and employees are completing their required compliance attestations and meeting regulatory requirements. Review Political Contribution requests to ensure compliance with LPL Policy, SEC and FINRA Pay to Play Rules. Maintain awareness of the industry news, and changes in the business or regulatory landscape, firm policies and department processes. Drive updates to policies and procedures to enhance our controls, identify gaps and improve the advisor experience. Perform other duties as assigned, including special projects, regulatory research and reporting. 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…
About 810 Seven Seventeen Credit Union
From its Form 990- Budget $120.3M
- Staff 376 · founded 1957
- Pays its leaders $195K–$576K (12 reported)
- Open jobs 300 · Jobs at 810 Seven Seventeen Credit Union · Full 990 report