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Sr Analyst, Risk Management

Job ID: R-020141 Date posted: 01/24/2022 Primary Location SC-Fort Mill

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 18,000 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.

Position Summary:

FINRA views advanced data analytics as a crucial component to run a risk-based and data-driven organization that supports a firm’s supervision, surveillance, examination and enforcement functions. Due to continuous rapid growth in LPL’s business and changes in industry trends and regulations, we seek to ensure risks are well-managed. Limits for risk exposures, strong controls and technology-driven monitoring should also be frequently evaluated and current. The Senior Analyst will be expected to lead projects that derive value from our rapidly growing data, drive data-driven decisions, and discover solutions hidden in large data sets. Will track key business metrics, understand current business processes and build models for predictive monitoring. This position requires demonstrated technical competencies of machine learning and coding languages with strong analytical, data management, project management, and oral/written communication skills.

Essential Functions:

  • Mine and analyze data to track transactional trends, investment product usages, and advisor behavior
  • Collaborate with Product and Research to create and maintain dashboards to monitor products performance and both firm and investor concentration
  • Create a scalable and repeatable monitoring process and pattern analysis
  • Provide data visualization and communicate findings to all levels of management
  • Develop, monitor and improve custom data models and algorithms to predict compliance outcomes and long-term trends
  • Understand the structure and purpose of work streams; learn how the business works; plan parts of projects and keep track of relevant details
  • Collaborate with Technology to build and automate a scalable pipeline for reporting via SQL and Python or R based on ETF framework

Other Job Duties:

1.  Participate and respond to internal and external audits as necessary around metrics reporting.

2.  Update procedures related to database maintenance

3.  Other duties as assigned

Job Requirements:

  • Bachelor's degree in Computer Science, Statistics, Mathematics, Engineering or other business related field or MBA/Masters and 3-4 years of experience. Machine Learning certification, Python or R certification, IBM Certified Database Administrator a plus
  • At least 3 years of experience in data visualization and hands on experience in Tableau or Power BI. Project management experience a plus
  • Basic knowledge of Investment Products; experience in wealth management or broker-dealer organization a plus
  • Advanced skills in Python, SQL, Machine Learning, All Microsoft Office, particularly Excel, Access, Visio, Project. Bloomberg, FIS Data, Dun & Bradstreet, and Morningstar a plus
  • Highly organized and analytical problem solver
  • Ability to communicate technical subject matter to individuals from various background

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 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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