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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
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Sr. Analyst, Third Party Risk Assessor

Job ID: R-011438 Date posted: 10/09/2020 Primary Location SC-Fort Mill Other Locations CA-San Diego

Are you looking to continue your third party risk management career?

Do you have a background in financial services or experience working in other highly regulated industries?

Excited to learn more? If so, then this could be the role for you!

Job Overview

The Strategic Sourcing and Procurement (SS&P) team is located in the new LEED certified Carolinas campus (Fort Mill, SC) and is responsible for managing the full end-to-end sourcing and procurement lifecycle.  SS&P’s mission is to 1) Deliver sustainable, ethical practices and leadership to enable the selection of external partners to drive the best service, quality, and value for LPL while appropriately mitigating risk. 2) Provide leadership to our business partners through LPLs center-led Vendor Management Program to ensure that any contractual and performance risks are effectively mitigated. 3) Drive operational excellence through management of the requisition and contract processes, travel program, contingent worker program, and third party access controls.  

What will you do?

  • Facilitate and perform third party risk assessments ranging from Critical to medium risk

  • Partner with colleagues across multiple business units to help drive completion of assigned third party risk assessments from scheduling, execution and remediation

  • Produce fact based assessment reports and remediation plans to be delivered to Business Owners outlining each Third Party’s compliance with enterprise Information Security and Business Continuity program standards

  • Maintain a current understanding of relevant third party risk management best practices and regulations

  • Develop positive working relationships to maintain an open environment for collaboration, risk identification and remediation

Please note: Additional responsibilities or duties may be assigned to you as needed or determined.

What does your success look like in the first 90 days?

A successful individual would be able to make an immediate impact on the team by applying previous Third Party Risk experience to independently complete risk assessments and help improve the overall process.  They would also demonstrate strong written communication skills when presenting fact based assessment reports and remediation plans and communicating impact of risks to the Business Owners. 

What are we looking for?

We want strong collaborators who can deliver a world-class client experience. We are looking for people who thrive in a fast-paced environment, are client focused, team oriented, and are able to execute in a way that encourages creativity and continuous improvement.

What skills, experiences, and education are required?

  • CISA Required to be considered for this role.   CISSP and/or Third Party Risk Certification nice to have
  • 3-5 years experience in Third Party Risk Management in financial services or other highly regulated industries
  • Strong knowledge of information security and risk controls
  • Experience using GRC Tools
  • Advanced MS Office skills including Excel, SharePoint, Word and Power Point
  • Strong relationship building and collaboration skills with the ability to engage and influence others in all levels of the organization to enforce policies, compliance and drive actions needed by others
  • Strong organizational skills with attention to detail, in order to meet deadlines in an environment of continually changing priorities
  • Ability to work comfortably with incomplete information and deal with ambiguity in a fast-paced environment while maintaining a sense of humor and cheerful attitude
  • Ability to adjust priorities and monitor workload to meet SLA’s

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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