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Analyst, Risk Management

Job ID: R-006649 Date posted: 05/09/2019 Primary Location SC-Fort Mill Other Locations CA-San Diego

LPL is actively seeking an experienced Analyst within our Service, Trading and Operations team. This individual will be working with senior team members assisting with projects that are key to a rapidly changing regulatory environment. The role will work closely with the Risk Management team and other departments within LPL to identify, analyze, and present process solutions that mitigate risks. The role will require clear and consistent reporting to leadership within the Risk Management and Service, Trading and Operations teams within the firm.

Responsibilities Include:

  • Assist with the facilitation of project team meetings
  • Provide support on project documentation to ensure milestones and deliverables are tracked to closure
  • Help identify issues and errors through root cause analysis and provide corrective  recommendations
  • Perform data analysis to help departments develop an approach to risk management
  • Determine potential impact on the organization’s risk posture
  • Deliver effective reporting and metrics of project progress to key stakeholders on a consistent basis
  • Effectively escalate issues to appropriate levels of management


Essential Business Experience and Technical Skills:

  • 3+ years of relevant experience (preferably financial services) in several disciplines (project management, operations, or risk management)
  • Time management, communication, and presentation skills
  • Ability to communicate to senior leadership for decision making purposes
  • Highly proficient with MS Excel, including pivot tables
  • Demonstrated experience with MS PowerPoint to share findings and create presentations
  • Ability to aggregate, analyze, and interpret data
  • Effective collaboration with various levels throughout the organization
  • Execute on tasks with minimal supervision
  • Ability to leverage others’ expertise and experience in identifying, evaluating and mitigating risks

About LPL Financial:

LPL Financial is a leader in the retail financial advice market and the nation’s largest independent broker/dealer*. We serve independent financial advisors and financial institutions, providing them with the technology, research, clearing and compliance services, and practice management programs they need to create and grow thriving practices. LPL enables them to provide objective guidance to millions of American families seeking wealth management, retirement planning, financial planning and asset management solutions. LPL and its affiliates have more than 3,700 employees with primary offices in Boston, Charlotte, and San Diego.

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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  • Compliance, San Diego, California, United StatesRemove
  • Compliance, Fort Mill, South Carolina, United StatesRemove