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Sr Analyst, Operations

Job ID: R-004407 Date posted: 09/11/2018 Primary Location SC-Fort Mill Other Locations CA-San Diego
  • This position is responsible for working with the AVP of Service, Trading, and Operations Risk Management (STO RM) in the coordination of diverse reporting processes and methodologies, and creating risk controls throughout STO.  This requires working closely with the AVP of STO RM, 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.  The role also requires the individual to implement and train managers on various control and risk policies consistent with a rapidly evolving regulatory environment.

    Responsibilities Include:

    • Analyzing the control structure within STO
    • Assist in identifying SOX, SSAE18, FICCA, and 17a-5 related issues, 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 management action plans
    • Track and close identified gaps and or potential risk items within each department.
    • 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
    • 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


    • 6+ years of industry experience (preferably financial services) in several disciplines (operations, internal audit, compliance, risk management, other internal controls)
    • Internal or External Audit experience strongly preferred
    • Knowledge of control environment for SOX, SSAE18, FICCA, and 17a-5 required
    • 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)
    • 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

      Licenses/Certifications Preferred:

    • Series 7, 24, 63 and 65 (66) preferred
    • All Microsoft applications, particularly, VISIO, WORD, ACCESS, PowerPoint and Excel

      Soft Skills Required:

    • 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

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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