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Sr. Risk Analyst, Risk Management

Job ID: R-000121 Date posted: 05/10/2017 Primary Location SC-Fort Mill

Job Requirements:

Our Sr. Analyst of Risk Management will be responsible for assisting in the coordination of the Service, Trading, and Operations (STO) diverse reporting processes and methodologies, and creating risk controls throughout STO. This requires working closely with the SVP of Risk Management (STO), various operational and service units throughout STO, Governance Risk and Compliance (GRC), Internal Audit (IA) and other departments within LPL to identify, define, and remediate various risk related items. Our Sr. Analyst will also implement and train managers on various control and risk policies consistent with a rapidly evolving regulatory environment.


Essential Responsibilities Include:

  • Evaluating and editing existing operational policies and procedures to more accurately identify and document remediation processes.
  • Assist in the creation of consistent and consolidated reporting for all of the STO areas that identify control weaknesses and corresponding action plans
  • Track and close identified gaps and or potential risk items within each department.
  • Assist in developing dashboard reports to communicate the relative effectiveness of the control infrastructure and identify potential trends and themes
  • Assist in the creation of common service level standards for the various STO functions and assessing related performance
  • Using data analysis to help STO develop a more proactive and anticipatory approach to risk management. Ensure ongoing analysis of risks, vulnerabilities, and market trends. Determine potential impact on the organization’s risk posture
  • Assist in benchmarking STO effectiveness against industry standards and peer firms
  • Assist with regulatory reviews, collection of data and materials for regulators or IA and assisting the operational departments in gathering requested information in a timely manner.
  • Continually access and identify new risk items within STO
  • Ongoing review and remediation of identified risk items
  • Evaluate current processes to ensure fundamental items are solidly in place: (Statements, Confirms, KYC, AML, Cash Movements, Commissioning, System Access, etc.)
  • Streamline reporting process
  • Help to ensure all operational policies are written in consistent manner and are complete
  • Will work closely with individuals throughout the organization including BTS, STO, IA, GRC and Legal, from staff to senior level to complete the various functions above, providing education (teaching) necessary to enable a culture of controls.


Qualifications:

  • Bachelor's degree in Business, Economics, Accounting/Finance, or similar required
  • 6+ years of industry experience (preferably financial services) in several disciplines (operations, internal audit, compliance, risk management, other internal controls)
  • Series 7 preferred, Series 24, 63 and 65 (or 66) preferred
  • Experience in Accounting or Financial analysis preferred
  • Ability to aggregate, analyze and interpret control environment related data
  • Ability to manage and lead effectively in an ever changing environment (both corporate and regulatory)
  • Change management experience
  • Ability to work with and communicate effectively to various levels throughout the organization.
  • Ability to leverage others’ expertise and experience in identifying, evaluating and mitigating risks within STO
  • Ability to work independently
  • All Microsoft applications, particularly, VISIO, WORD, ACCESS, PowerPoint and Excel
  • Excellent verbal and written communication skills
  • 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

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 Charlotte, 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 1996-2016, based on total revenue.

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