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The health and safety of our employees and candidates is very important to us. Due to the current situation related to the Novel Coronavirus (COVID-19), we’re leveraging our digital capabilities to ensure we can continue to recruit top talent at LPL Financial.As your application progresses, you may be asked to use one of our digital tools to help you through your recruitment journey. If so, one of our recruiters will explain what type of interviewing technology will be used throughout the recruitment process and will be on hand to answer any questions that you have. You can also email us at LPLFinancialHiring@lpl.com.
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Sr Analyst, Risk Management

Job ID: R-013236 Date posted: 04/19/2021 Primary Location SC-Fort Mill Other Locations CA-San Diego

The Senior Analyst will work closely with the AVP of the Care Organization Risk Management team to coordinate diverse reporting processes and methodologies, and to identify opportunities to improve or employ risk controls throughout the division. This role will work closely with various operational, trading, and service units throughout the Care Organization, Compliance, Legal, and Risk (CLR), Internal Audit (IA), Technology and other departments within LPL to identify, define and remediate various risk related items.  

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 the Care Organization and across the firm.

Responsibilities Include:

  • Deliver effective communication of project and initiative expectations, as well as progress and issues to key stakeholders on a consistent basis.
  • Coordinate the collection of required documentation and provide support during regulatory reviews and audit engagements.
  • Assist in the identification of SOX, SSAE18, FICCA, and 17a-5 related issues, and document remediation processes.
  • Ensure ongoing analysis of risks, vulnerabilities, and market trends and use that data to improve the firm’s risk posture.
  • Monitor progress and work with business owners to remediate identified gaps and deficiencies.
  • Provide vendor oversight support and risk assessment assistance to business owners.
  • Use data analysis to help develop a more proactive and anticipatory approach to risk management by identifying areas for improvement, creating frameworks and providing structured support to business owners.
  • Discover automation opportunities across the Care Organization and work with Technology to implement these controls.

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
  • All Microsoft applications, particularly, VISIO, WORD, PowerPoint and Excel
  • SharePoint, Smartsheet and BOX experience preferred
  • Advanced Excel and other data analytical skills strongly preferred
  • Excellent interpersonal and written communication skills
  • SQL and Access knowledge strongly preferred
  • Ability to multi-task in a fast paced environment; work independently

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 from associates to senior level management
  • Strong time management and organizational skills
  • Highly motivated and able to adapt to changing priorities
  • Ability to work in a team setting

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.

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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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