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Sr. Analyst, Enterprise Risk Management

Job ID: R-004912 Date posted: 10/29/2018 Primary Location CA-San Diego Other Locations SC-Fort Mill

Sr. Analyst, Enterprise Risk Management

We are currently looking for a Sr. Analyst to join our Enterprise Risk Management (ERM) department, which serves as a second line of defense within the Compliance, Legal and Risk (CLR) group. 

The Sr. Analyst of ERM will be responsible for assisting with the development and maintenance of the firm’s risk-based program, working closely with business partners in Internal Audit, Operations, Technology, Human Capital and CLR to document, assess, and report on the current risk and control environment.


  • Prepares materials and gathers data for Risk and Control Self Assessments (RCSA).
  • Facilitates effective risk management governance for ERM initiatives, which may include defining scope of work, conducting RCSA meetings to assess risk levels in combination with control strength and test work.
  • Works with business units to provide operational risk expertise and consulting for projects and initiatives.
  • Evaluates the adequacy of policies and procedures against FINRA and SEC rules to identify control weaknesses.
  • Identifies and assesses enterprise and emerging risk issues, and assigns risk ratings consistent with established policy standards.
  • Collaborates with applicable stakeholders to gather management action plans that effectively remediate identified issues.
  • Develops reporting to help prioritize risk-mitigating activities across the firm and presents assessment results to senior management.
  • Performs other duties and completes ad hoc projects as assigned.


  • Bachelor’s degree in a related field; advanced degree a plus.
  • 5+ years of experience in operational risk management or similar discipline (e.g., Compliance, Internal Audit, Legal, etc.) for a financial services firm.
  • Knowledge of and experience with broker-dealers, finance, audit, compliance, operational risk, and/or IT risk management.
  • Strong analytical skills with high attention to detail and accuracy.
  • Ability to influence and communicate effectively with all levels of management, including executive and senior leaders.
  • Excellent verbal and written communication skills with experience in writing reports or presenting to senior 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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