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Risk Managment Sr Ops Specialist

Job ID: R-008311 Date posted: 12/03/2019 Primary Location SC-Fort Mill

Sr. Ops Specialist - Risk Management

The Senior Operations Specialist will be response for reviewing established business processes to create maps and to identify opportunities for improvement, process gaps, and control failures.

Essential Functions:

  • Facilitate discussions with necessary Business Unit personnel
  • Create process workflows using Visio
  • Report status of assigned projects and make management aware of roadblocks which might impact the timeliness of completion
  • Compile results of reviews using established templates
  • Present results to Risk Management and Business Unit management
  • Provide backup to other team members with various projects, tasks or cross-training needs


  • Bachelor’s Degree, certificates or other experience in in Business, Economics, Accounting/Finance, project management or data analytics; other areas of focus will be considered
  • Proficiency in Microsoft Office products, specifically Excel, Word and Visio
  • Financial Services experience, preferably in broker-dealer; audit experience a plus
  • Excellent verbal and written communication skills

Required Skills:

  • Self-starter who requires minimal management oversight for day to day work responsibilities
  • Strong attention to detail with a proactive approach to solving and preventing problems
  • Ability to interface effectively with various levels of employees
  • Strong time management and organizational skills
  • Working knowledge of regulatory requirements (preferably AML / Fraud)
  • Proficient in MS Office (Word, Access, Excel, PowerPoint, Visio)

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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  • Service and Operations, Fort Mill, South Carolina, United StatesRemove