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Sr Analyst, Risk Management

Job ID: R-008561 Date posted: 02/27/2020 Primary Location SC-Fort Mill

The Senior Analyst will perform in a cross functional role as part of the controls and audit support team and the self-assessments team within the Service, Trading and Operations Risk Management (STO RM)

The role will work closely with the AVP of STO Risk Management, various operational and service units throughout Service Trading and Operations (STO), Compliance, Legal and Risk (CLR), Internal Audit (IA), Technology and Legal.  

The candidate must be able to multi-task, have excellent interpersonal and organizational skills, and be a self-starter.  The role will require clear and consistent reporting to senior leadership within STO and the firm.

Responsibilities Include:

  • Participate in and advocate on behalf of the business during audits and controls testing
  • Research, develop and document new processes within the business
  • Assist in remediating identified process gaps and control deficiencies
  • Facilitate the completion of firm-wide initiatives within the STO organization
  • Implement vendor oversight and user access controls in partnership with Technology and CLR partners and the STO business owners
  • Deliver effective communication of project progress and issues to key stakeholder on a consistent basis
  • Ensure documents meet requirements of outstanding audit requirements  
  • Work closely with individuals throughout the organization including Technology, STO, IA, CLR and Legal, from staff to senior level to complete the various functions above, providing education (teaching) necessary to enable a culture of controls.
  • Continually identify and assess new risk items within STO
  • Track and close identified gaps and or potential risk items within each department.
  • Ensure ongoing analysis of risks, vulnerabilities, and market trends.

Qualifications:

  • 6+ years of related professional experience, (preferably financial services) in several disciplines (operations, internal audit, compliance, risk management, documentation management other internal controls)
  • Internal or External Audit experience strongly preferred
  • Knowledge of control environment for SOX, SSAE18, FICCA, and 17a-5 preferred
  • Excellent interpersonal and written communication skills
  • Ability to multi-task in a fast paced environment; work independently
  • Strong attention to detail
  • Skilled at prioritization and multi-tasking
  • All Microsoft applications, particularly, VISIO, WORD, PowerPoint and Excel
  • SharePoint experience, preferred

Soft Skills Required:

  • Personable and reliable self-starter who requires minimal management oversight for day-to-day work responsibilities
  • Strong attention to detail with a pro-active approach to solving and preventing problems
  • Ability to work under pressure/deadlines and manage multiple priorities
  • Ability to interface effectively with various levels of employees
  • Strong time management and organizational skills
  • Highly motivated and able to adapt to changing priorities
  • Ability to work in a team setting

We offer a competitive salary and benefits package. Please login or create an account to apply to this position. Principals only. EOE

Compensation Grade: 6A

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 4,200 employees with primary offices in Boston, Charlotte, and San Diego.

*As reported by Financial Planning magazine, June 1996-2019, based on total revenue.

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 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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  • Compliance, Fort Mill, South Carolina, United StatesRemove