LPL Financial' Governance, Risk and Compliance Support

Governance, Risk, and Compliance

Running a successful business and keeping it compliant is no small task. Complex regulatory, legislative, and risk-management issues abound. Fortunately, you don’t have to navigate this process alone.

LPL Financial solves our challenges and frees us to focus on making smart investment decisions for our clients.

- Ben Marks, Marks Group Wealth Management

You’ve Got a Team of Experts on Your Side

When you join LPL, our seasoned Governance, Risk, and Compliance (GRC) team becomes your dedicated partner and resource. We work closely with you, providing an advanced platform of risk and compliance management, services, and technology to support your clients and protect your business.

By joining LPL, you gain access to expert knowledge and representation in these critical areas:

Hands-on audit and supervisory assistance:

  • Assistance with all forms of audits
  • Help with OSJ supervisory activities
  • Advisory account reviews
  • Reporting of direct business, outside business, and outside account activities
  • Assistance with sales-practice issues
  • Direction for record-keeping requirements

Automated processes, tools, and technology:

  • Secured environment to manage daily and monthly tasks
  • Automation of email surveillance and Trade Blotter review
  • Tools for OSJ branch managers to oversee sales activities including electronic audits
 
*Marks Group Wealth Management and LPL Financial are separate entities.