Senior Analyst, Third Party Risk AssessorApply Job ID: R-016147 Date posted: 07/27/2021 Primary Location SC-Fort Mill Other Locations CA-San Diego
Are you looking to continue your third party risk management career?
Do you have a background in financial services or experience working in other highly regulated industries?
Excited to learn more? If so, then this could be the role for you!
LPL Financial is one of the nation's leading financial services companies and a publicly traded company under ticker symbol LPLA. We support over 18,000 financial professionals—including over 14,000 independent advisors, more than 700 financial institutions, and over 4,000 institutional clearing and technology subscribers. We enable advisors to focus on their clients by reducing the complexity of running their practice and we support their business by offering enabling technology, comprehensive clearing and compliance services, practice management programs and training, and independent research. At LPL, we take care of our advisors, so they can take care of their clients. And Technology is at the center of our mission.
The Strategic Sourcing and Procurement (SS&P) team is located in the new LEED certified Carolinas campus (Fort Mill, SC) and is responsible for managing the full end-to-end sourcing and procurement lifecycle. SS&P’s mission is to 1) Deliver sustainable, ethical practices and leadership to enable the selection of external partners to drive the best service, quality, and value for LPL while appropriately mitigating risk. 2) Provide leadership to our business partners through LPLs center-led Vendor Management Program to ensure that any contractual and performance risks are effectively mitigated. 3) Drive operational excellence through management of the requisition and contract processes, travel program, contingent worker program, and third party access controls.
Facilitate and perform third party risk assessments ranging from Critical to medium risk
Partner with colleagues across multiple business units to help drive completion of assigned third party risk assessments from scheduling, execution and remediation
Produce fact based assessment reports and remediation plans to be delivered to Business Owners outlining each Third Party’s compliance with enterprise Information Security and Business Continuity program standards
Maintain a current understanding of relevant third party risk management best practices and regulations
Develop positive working relationships to maintain an open environment for collaboration, risk identification and remediation
Please note: Additional responsibilities or duties may be assigned to you as needed or determined.
What are we looking for?
We want strong collaborators who can deliver a world-class client experience. We are looking for people who thrive in a fast-paced environment, are client focused, team oriented, and are able to execute in a way that encourages creativity and continuous improvement.
- Third party risk knowledge in finance and or regulatory areas is required to be considered for this role.
- 3-5 years experience in Third Party Risk Management in financial services or other highly regulated industries
- Experience using GRC Tools (OneTrust, Archer)
- Advanced MS Office skills including Excel, SharePoint, Word and Power Point
- Strong organizational skills with attention to detail, in order to meet deadlines in an environment of continually changing priorities
- Ability to work comfortably with incomplete information and deal with ambiguity in a fast-paced environment while maintaining a sense of humor and cheerful attitude
- Wiliness to travel to supplier locations to perform on-site assessments
- Ability to adjust priorities and monitor workload to meet SLA’s
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.