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Analyst – Third Party Risk and Performance Monitoring (Sourcing & Procurement)

Job ID: R-012867 Date posted: 02/08/2021 Primary Location SC-Fort Mill Other Locations CA-San Diego

Are you looking to pursue or continue a career in third party risk?

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 including Third Party Risk Management.  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 to ensure that any contractual and performance risks are effectively mitigated. 3) Drive operational excellence and appropriate risk mitigation through the identification and management of the requisition and contract processes, risk assessment and vendor management process.   

Engaging a Third Party Service Provider (TSP) can expose the organization to compliance, credit, information security, offshore, operational, reputational and/or strategic risk.  In collaboration with other subject matter experts, Business and Vendor Owners, and other teams within SS&P, Risk & Performance Monitoring (RPM) plays an instrumental role in mitigating such risk throughout the due diligence and vendor performance management lifecycle.  These parties will work jointly to perform ongoing monitoring activities to improve TSP value and mitigate risks.

What will you do?

  • Review Risk Assessment Evaluation (RAE) forms submitted by the Business for accuracy and completeness
  • Provide RAE review (approval or denial) within Company’s Procure to Pay system within the 2-day SLA
  • Partner with risk assessment team to maintain third party inventory and assessment schedule
  • Partner with risk assessment team to drive completion of assigned third party risk assessments from scheduling, execution and remediation
  • Collect, generate and provide Business Owners and Vendor Owners relevant information/reports (most current Risk Assessment Report and Remediation Plan, list of all open Findings, list of risk being accepted, and any ongoing monitoring reports/data) prior to their required Business Reviews and provide support if needed.  
  • Assist with departmental training and communication efforts. 
  • Support third party risk management tool implementation and maintenance
  • Other duties as assigned

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?

  • An appropriate 4 year college degree
  • Minimum of 3-5+ years of experience working in a medium to large professional enterprise or 1+ years of contract negotiations, pricing experience, or vendor management
  • Knowledge of information security and risk controls
  • Knowledge of Vendor Management or sourcing functions
  • Experience with financial services or other highly regulated industries is desirable
  • Experience using Archer, Ariba or other GRC or Procure-to-Pay tools is desirable
  • Ability to meet deadlines in a fast-paced environment
  • Ability to work with management and other team members
  • Thorough and detail-oriented with strong investigative skills
  • Analytical with excellent research skills.
  • Strong organizational skills with attention to detail, in order to meet deadlines in an environment of continually changing priorities
  • Ability to work within a team, take the initiative and create concise and relevant analysis
  • Positive attitude, commitment to excellence and integrity
  • Strong organizational skills with attention to detail, in order to meet deadlines in an environment of continually changing priorities
  • Ability to work within a team, take the initiative and create concise and relevant analysis
  • Positive attitude, commitment to excellence and integrity
  • Ability to work comfortably with incomplete information and deal with ambiguity in a fast-paced environment
  • Ability to adjust priorities and monitor workload to meet challenging deadlines
  • Unimpeachable ethical standards and a strong work ethic
  • Grace under pressure and a sense of humor!

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 @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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