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Sr. Analyst, Risk Management

Job ID: R-004209 Date posted: 08/15/2018 Primary Location CA-San Diego

Our Sr. Analyst, Risk Management within our Human Capital group will be responsible for supporting the centralized risk and governance organization within Human Capital. Role will be responsible for ensuring we are addressing any risk deficiencies while proactively identifying and mitigating any risks to the organization. Role will be responsible for supporting the audit risk function, while working closely with the AVP Human Resources, HC teams and leadership, as well as Internal Audit.

Essential Functions:

1. Audit Response & Support: Respond to Internal Audit's requests for documentation related to multiple standards (i.e. Sarbanes Oxley (SOX), SSAE 16, FICCA, SEC Rule 17A-5, etc.) to ensure that we are addressing any risk deficiencies in HC. Prepare and issue instructions concerning system generation, testing, completion, and distribution of reports according to new or revised practices, procedures, or policies of reports management. Perform data analysis, testing, and general system/process risk assessments. Develop, communicate, respond, and store daily/weekly/monthly ongoing HC reports. Respond to and coordinate with appropriate HC partners regarding audit reporting requests/requirements directly (systems/applications and processes) and answer questions about HC reports. Document and store HC audit processes that occur frequently and infrequently to maintain consistency with reporting.  Facilitate audit walkthroughs, participate in audit meetings, and support special projects as the need arises. Support and work closely with the AVP, HC leadership team, Internal Audit, CLR, and IAM to ensure we are meeting audit requirements.  Work closely with the AVP on quarterly audit updates to the HC teams and participate in the quarterly check in meetings with Internal Audit and the MD of HC.

2. Proactive Risk: Work with the AVP to execute a long-term system strategy for our risk and audit process.  Reach out to HC teams to identify new risks before they become major issues, find more efficient control methods, and create educational materials.  Research reporting options and systems for improved reporting requirements and system functionality. Recommend new or modified reporting methods and procedures to improve report content and completeness of information. Evaluate findings, using knowledge of workflow, systems, and operating practices. Work with the AVP to identify and mitigate any risks to the organization.


  • Bachelor's degree in related field
  • 5 years experience in similar function preferred
  • 3 years experience focused on audit, risk, and project management ideal
  • Knowledge of Sarbanes Oxley (SOX), SSAE 16, FICCA, SEC Rule 17A-5are a definite plus
  • Strong knowledge of process flows and process improvement
  • Prior experience in risk or project management within a Human Capital/Human Resources function a strong plus
  • Ability to effectively plan, set priorities, and manage complex audit requests simultaneously while working under pressure to meet deadlines
  • Strong analytical skill set
  • Relationship builder/influencer, strong organizational planner, detail-oriented, and the ability to multi-task and prioritize responsibilities in a fast paced environment
  • Excellent teamwork and written/verbal communication skills to effectively communicate in a customer service manner within the organization

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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