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Analyst, Risk and Loss Analysis and Reporting - ERM

Job ID: R-005300 Date posted: 01/17/2019 Primary Location SC-Fort Mill Other Locations CA-San Diego

We are looking for an analyst to join our Enterprise Risk Management (ERM) department, which serves as a second line of defense function within LPL’s Compliance, Legal and Risk business unit. The Analyst, Risk and Loss Analysis and Reporting, will be responsible for contributing to the Firm’s risk management program by supporting the identification, assessment, and reporting of various risks that affect the Firm.


  • Identify and assess operational risks and loss events and ensure stakeholders develop appropriate mitigation efforts.
  • Identify and evaluate external risk events to determine relevance and potential impact to the Firm.
  • Assist with the tracking and reporting of issues, including control failures
  • Assist with collecting and analyzing metrics for the production of the quarterly Enterprise Risk Profile (ERP) Report.
  • Perform other duties and complete ad hoc projects as assigned.

Qualifications & Capabilities

  • Bachelor’s degree in a related field; advanced degree a plus.
  • 2+ years of experience in operational risk management or similar discipline (e.g., Compliance, Internal Audit, Legal, etc.) for a financial services firm.
  • Strong analytical skills with high attention to detail and accuracy.
  • Excellent verbal and written communication skills with some experience in writing reports or presenting to management.
  • Service oriented with experience collaborating to solve problems.
  • Expertise in Microsoft Office Suite including MS Access, Visio, Excel, PowerPoint, & Word.

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
  • Compliance, San Diego, California, United StatesRemove