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Analyst, Compliance - Enterprise Risk Management Group

Job ID: R-004721 Date posted: 10/11/2018 Primary Location SC-Fort Mill

The Analyst within Enterprise Risk Management (ERM) is responsible for testing and assessing risks and controls at the Firm.  The Analyst is a member of a team of subject matter experts on risk identification, assessment, and testing and will seek a high level of knowledge, expertise and practice within this capacity. This individual may periodically interface with and present testing results to senior management.

​The Enterprise Risk Management (ERM) group is a department within LPL's Compliance, Legal, and Risk (CLR) division that supports the organization in monitoring, measuring and managing the company's operational risk exposures.

Day to day activities of this role include:

  • Evaluate operational and compliance related control activities to detect violations of Firm policies and/or regulatory rules and requirements (e.g., FINRA, MSRB, NFA and SEC). Specifically, conduct compliance test work for FINRA Rule 3120 and SEC Rule 206(4)-7.
  • With the assistance of Senior Analysts and Management, develop strategies (scripts) for testing the design, operating effectiveness, efficiency and appropriateness of operational and compliance processes and controls.
  • Present testing and risk assessment results to senior management and obtain management’s plan of action to remediate findings.
  • Evaluate the adequacy of management’s remediation of issues discovered through various assurance activities at the Firm (remediation testing).
  • Perform other duties and complete ad hoc projects as assigned by ERM management.
  • Pursue professional development opportunities, including external and internal training and professional association memberships.


  • Bachelor's degree
  • Strong analytical skills with high attention to detail and accuracy
  • Proficient in MS Office (Excel, PowerPoint, Access, Visio, etc.)
  • Preferred:  FINRA Series 6, 7, 63, 65, 24, or equivalent.
  • Preferred:  Minimum of 1+ years of experience in compliance and operational risk management, or similar risk management discipline (e.g., Internal Audit, Legal department for a financial service firm)
  • Preferred: applicable audit designations (e.g. CPA, CIA, CFE, CISA) or other related certification

About LPL Financial:

LPL Financial is a leader in the retail financial advice market and the nation’s largest independent broker/dealer*. We serve independent financial advisors and financial institutions, providing them with the technology, research, clearing and compliance services, and practice management programs they need to create and grow thriving practices. LPL enables them to provide objective guidance to millions of American families seeking wealth management, retirement planning, financial planning and asset management solutions. LPL and its affiliates have more than 3,700 employees with primary offices in Boston, Charlotte, and San Diego.

Our Culture:

If you join LPL, you will join a culture that believes in delivering a world-class client experience and looks to all employees to contribute to that goal by sharing their creativity, experience, and passion for continuous improvement. As a destination of choice, our top priorities are growth and development, social responsibility, and financial health for our employees. 

We offer competitive compensation and industry leading benefits, including a wellness facility with onsite fitness classes, healthy meal choices, and a walk-in clinic. We support employee financial health through a 401k match, ESPP, and employee discounts. Work/life balance is our foundation and is supported through paid holidays, and paid time off (including time to volunteer). We foster a diverse work environment through Employee Resource Groups and diverse strategic partnerships.  

Join the LPL team and help us make a difference by turning life’s aspirations into financial realities. Please login or create an account to apply to this position. Principals only. EOE

*As reported by Financial Planning magazine, June 1996-2017, based on total revenue.

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  • Compliance, Fort Mill, South Carolina, United StatesRemove