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Sr. Analyst, Third Party Risk & Due Diligence – Onsite Assessor (Fort Mill Office)

Job ID: R-002076 Date posted: 02/02/2018 Primary Location SC-Fort Mill

Job Description:

The Sr. Analyst, Third Party Risk & Due Diligence – Onsite Assessor is a full time position located onsite at our Fort Mill office. will be responsible for performing comprehensive due diligence on third parties located domestically. This due diligence involves assessing various risk domains while onsite at the third party’s location(s) including: information security, financial viability, business continuity, compliance objectives, offshore risks and contractual risks.

Prior knowledge in any of the following areas is beneficial: third party risk management, procurement, business continuity/disaster recovery planning, SOC reports, information security, company financial documents and privacy policies.

Essential Functions:

  • Facilitate onsite assessments with third party subject matter experts
  • Partner with colleagues across multiple business units to help drive completion of assigned third party risk assessments from scheduling, execution and remediation
  • Develop positive working relationships to maintain an open environment for collaboration, risk identification and remediation
  • Work with business units to ensure third parties are assessed and are compliant with Third Party Risk & Due Diligence processes
  • Produce fact based assessment reports to be delivered to business unit leaders outlining each Third Party’s compliance with enterprise Information Security and Business Continuity program standards
  • Influence the business units to drive implementation of improvements with third party controls where needed
  • Participate in formal Third Party Risk & Due Diligence governance routines as needed
  • Maintain a current understanding of relevant third party risk management best practices and regulations

Skills & Qualifications:

  • Bachelor’s degree and 5+ years relevant experience with focus in Risk Management; required
  • Knowledge of information security and risk controls; required
  • Professional Certification in relevant security or risk management designation (e.g. CISA, CISSP, etc.); preferred
  • Knowledge of Third Party Risk Management or Procurement functions; preferred
  • Experience with financial services or other highly regulated industries; preferred

Additional Skills Required:

  • Ability to forge solid relationships and collaborate with business partners, including the ability to convey complex information / knowledge in an understandable and clear manner
  • Demonstrates ability to analyze information to formulate business recommendations
  • Strong organizational skills with attention to detail, in order to meet deadlines in an environment of continually changing priorities
  • Perform effectively in a dynamic work environment
  • Strong financial and business process analysis and experience
  • Good relationship management skills in order to enforce policies, compliance and drive actions needed by others
  • Manage multiple initiatives concurrently
  • Accomplish goals with broad direction and minimal day-to-day supervision
  • Adapt quickly to changes in business direction that may impact initiatives in progress with minimal noise
  • Excellent written and verbal skills, conveys complex and technical concepts with simplicity and clarity


  • Travel Required

Our Company:

LPL Financial, the nation’s largest independent broker/dealer since 1996* and the fourth largest broker/dealer overall, serves as an enabling partner to more than 14,000 independent financial advisors and approximately 700 financial institutions. Since its formation decades ago, LPL has focused on one primary mission -- enabling independent financial advisors to bring objective and un-biased financial advice to millions of Americans. 

Headquartered in Boston, San Diego, and Fort Mill, and powered by more than 3,300 client-centric employees, LPL is financially strong and growing.

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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