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Senior Analyst, Information Lifecycle Management

Job ID: R-022968 Date posted: 05/11/2022 Primary Location SC-Fort Mill Other Locations CA-San Diego

Are you a team player? Are you curious to learn? Are you interested in working in meaningful projects? Do you want to work with cutting-edge technology? Are you interested in being part of a team that is working to transform and do things differently? If so, LPL Financial is the place for you!

Excited to learn more? If so, then this could be the role for you!  

LPL Financial (Nasdaq: LPLA) was founded on the principle that the firm should work for the advisor, and not the other way around. Today, LPL is a leader* in the markets we serve, supporting more than 19,000 financial advisors, 800 institution-based investment programs and 450 independent RIA firms nationwide. We are steadfast in our commitment to the advisor-centered model and the belief that Americans deserve access to personalized guidance from a financial advisor. At LPL, independence means that advisors have the freedom they deserve to choose the business model, services, and technology resources that allow them to run their perfect practice. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors, so they can take care of their clients.

The Senior Analyst, Technology Compliance/Information Lifecycle Management, will primarily be responsible for performing second-line controls intended to provide oversight of the technology and processes used by the Firm to meet its regulatory Books and Records requirements.  Additionally, the Senior Analyst will contribute to the Firm’s overall risk mitigation efforts by supporting the identification, assessment, documentation, and correction of operational and regulatory risks that are a result of failed internal processes, systems or controls, particularly with regard to leveraged technology.

The right candidate will have an ability to mitigate risk and enforce compliance, a passion for technology, and an innate desire to continuously learn, improve, and evolve. They will have the courage and skillset necessary to solve complex business problems in an efficient and collaborative manner.  Additionally, they will strive to be a Subject Matter Expert in risk identification, assessment, mitigation and will maintain a high level of knowledge, expertise and practice within this capacity.

Essential Functions:

· Support all technology related aspects of an effective and compliant Books and Records management program, including ongoing oversight of record ingestion into the Firm’s electronic storage media, gap remediation when necessary, the establishment and testing of new ingestion processes, and other tasks related to the firm’s official electronic repositories;  

· Assess risk to the firm’s recordkeeping obligation resulting from new and changes to business processes, policies, regulations, LPL offered products, vendors, technology infrastructure and enhancements to systems and applications;

· Analyze new record types, or changes to existing record types, to provide input on archival requirements, including identification of all regulatory requirements/rules, assigning appropriate retention, specifying required metadata, confirming retrievability, and ensuring the firm’s Records Inventory is updated accordingly;

· Clearly communicate the risks associated with the performance of controls to leadership, technology, business owners and other stakeholders;

· Effectively build and execute processes and controls designed to manage an effective Books and Records compliance program and continue to assess and strengthen these processes;

· Work closely with subject matter experts and senior leaders across the entire organization through the annual process of refreshing the Firm’s records inventory;

· Support corporate initiatives that impact the Firm’s management of data and records

· Provide needed support to financial advisors on matters relating to the branch offices’ adherence to books and records regulations;

· Support the record destruction process (both physical and electronic);

· Enhance the knowledge and awareness of LPL employees and advisors regarding all aspects of records management;

Job Requirements: Minimum Education/Experience Required:

· Bachelor's degree in Business, Technology/MIS, Finance, or a related field

· 3-5 years’ experience in the financial services industry

· Working knowledge and understanding of the functions of electronic records management systems, including their capabilities, risk management intent and issues such as metadata, security, privacy, and access

·  Candidate must have excellent verbal and written communication skills and be entirely comfortable presenting facts, ideas and opinions to executives or large groups of people

· Strong knowledge in Microsoft Excel including basic formulas, pivot tables, functions, etc.

Preferred experience:

· Working knowledge of SEC (17a-3 and 17a-4), FINRA, NFA, CFTC, and MSRB rules, especially Books and Records requirements

· Series 7 or Series 99 a plus

· Worked in the financial services Industry in a compliance, legal, technology or risk capacity; OR worked in a Big-4 Accounting/Consulting firm

· Knowledge of SQL, Tableau, SharePoint a plus

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.

Want to hear from our employees on what it’s like to work at LPL?  Watch this!

We take social responsibility seriously. Learn more here

Want to see info on our benefits?  Learn more here

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 @lplfinancial.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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