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Senior Analyst, Data Validation & Analytics

Job ID: R-013397 Date posted: 03/23/2021 Primary Location SC-Fort Mill Other Locations CA-Remote

The Senior Analyst, Data Validation & Analytics (DV&A), is responsible for contributing to the Firm’s risk mitigation efforts by supporting validation of data and controls within the compliance organization through the use of data analytics.  This position will provide guidance and collaborate with other team members to help standup a new analytics capability within the CLR Organization.  This program is responsible for the testing of data quality and data movement controls that exist throughout the technology environment as data makes its way from source systems to end reports and supports Enterprise Risk Management (ERM) by performing independent closure validation for technology issues. The Senior Compliance Analyst is the subject matter expert on risk identification, assessment, technology, and data quality and analytics.  This role will maintain a high level of knowledge, expertise and practice within this capacity.

The DV&A team is part of LPL's Compliance, Legal, and Risk (CLR) division that supports the organization in monitoring, measuring and managing the company's regulatory and operational risk exposures.  While this role reports to the Manager of DV&A, you’ll closely align with the Technology leadership team, Compliance Risk Assessment team and Internal Audit to plan, coordinate and execute ongoing validation and monitoring activities.

Essential Functions:

Control Compliance Testing Program Execution (80%)

•             Evaluate Data control activities to detect violations of Firm policies and/or regulatory rules and requirements (e.g., FINRA, MSRB, NFA and SEC).

•             Test the design, operating effectiveness, efficiency and appropriateness of operational processes and controls for the movement of data in regard to quality and efficacy in support of LPL processes and systems.

•             Validate controls that govern the use of user-based technology such as excel macros, access databases, etc.

•             Create and maintain effective working papers and documentation of validation procedures and outcomes.

•             Present results to 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).

•             Clearly communicate the risks associated with control testing failures/gaps to Technology Compliance Testing leadership

Control Design Consultation (20%)

•             Assist technology partners in process mapping activities

•             Advise technology departments on proper location and design of controls.

Job Requirements:

Minimum Education Required:

•             Bachelor’s degree (Accounting, Computer Science, Data Science or related field preferred)

Minimum Experience Required:

•             Minimum of 5 years regulatory compliance experience, audit, or control testing in financial services.

•             Minimum of 2 years assessing data controls against Information Technology frameworks (e.g. COBIT, COSO, NIST 800-53, ITIL, ISO20001/2) and Compliance frameworks (OCC BSA/AML, OFAC, USA PATRIOT Act, FINRA and SEC trade laws and regulations)

Preferred Experience:

•             3 or more years of experience in a Big-4 Accounting/Consulting firm focused in financial services, compliance, and data analytics

•             1-2 years Agile Project Management experience

Skill Requirements:

•             Deep knowledge of information technology concepts

•             Working knowledge of the three lines of defense model of risk management

•             Ability to interact and collaborate well with all levels of the organization, including senior executives, as well as external partners or vendors

•             A proven self-starter who is able to operate in a matrixed environment

•             Stellar written and oral communication skills

•             Graceful under pressure, resilient, and flexible in the face of change

•             Comfortable working under tight deadlines with ability to deliver quality work quickly

•             Strong organization skills

•             Advanced knowledge in Microsoft Excel including basic formulas, pivot tables, functions, etc.

•             Data Management and Governance

•             SQL knowledge

•             Data Visualization software (e.g. Qlik, Tableau, Power BI, etc.)

•             Knowledgeable in analytics and data science methodologies

Skill Preferences:

•             Compliance platforms such as Archer, Actimize, Mantas, etc.

•             JIRA/Confluence

•             AWS Management Console (Athena, Jupyter, S3, EC2, etc.)

•             Python Programming

About CLR

The Compliance, Legal & Risk (CLR) team is focused on delivering an industry-leading client service and risk management experience by providing advisors and our internal business partners with proactive guidance, advice, advocacy and consultative partnerships.

Why LPL? 

At LPL, we believe that objective financial guidance is a fundamental need for everyone. As the nation’s leading independent broker-dealer, we offer an integrated platform of proprietary technology, brokerage, and investment advisor services. We provide you with a work environment that encourages your creativity and growth, a leadership team that is supportive and responsive, and the opportunity to create a career that has no limits, only amazing potential.

We are one team on one mission. We take care of our advisors, so they can take care of their clients.

Because our company is not too big and not too small, you can seize the opportunity to make a real impact. We are committed to supporting workplace equality, and we embrace the different perspectives and backgrounds of our employees.We also care for our communities, and we encourage our employees to do the same. This creates an environment in which you can do your best work.

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We take social responsibility seriously. Learn more here

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

Information on Interviews:

LPL will only communicate with a job applicant directly from an @lpl.com email address and will never conduct an interview online or in a chatroom forum.  During an interview, LPL will not request any form of payment from the applicant, or information regarding an applicant’s bank or credit card.  Should you have any questions regarding the application process, please contact LPL’s Human Resources Solutions Center at (800) 877-7210.

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  • Information Technology, Fort Mill, South Carolina, United StatesRemove