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Sr Analyst, STO Risk Management

Job ID: R-004211 Date posted: 10/02/2018 Primary Location SC-Fort Mill Other Locations CA-San Diego

The Sr. Analyst within the Service, Trading and Operations Risk Management (STO RM) team will be working and leading projects that are key to a rapidly changing regulatory environment.  The role will work closely with the AVP of STO Risk Management, various operational and service units throughout STO (Service Trading and Operations), Compliance, Legal and Risk (CLR), Technology and other departments within LPL to identify, analyze, and present process solutions that help mitigate risks.   The candidate must be able to multi-task, have excellent interpersonal and organizational skills and strong analytical skills.  The role will require clear and consistent reporting to senior leadership within STO and the firm.

Responsibilities Include:

  • Identify key project members and facilitate project team meetings
  • Consistent use of project templates including, agendas, meeting minutes, and project plans
  • Develop and maintain full scale project plans to ensure milestones and deliverables are tracked to closure
  • Manage project timelines
  • Track project budget and resource needs
  • Deliver effective communication of project progress and issues to key stakeholder on a consistent basis
  • Use 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
  • Continually access and identify new risk items within STO
  • Ongoing review and remediation of identified risk items


  • 6+ years of industry experience (preferably financial services) in several disciplines (project management, operations, internal audit, compliance, risk management, other internal controls)
  • Strong project management, communications, and presentation skills
  • Ability to multi-task in a fast paced environment
  • Ability to work independently
  • 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

    Licenses/Certifications Preferred:

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

    We offer a competitive salary and benefits package. Please login or create an account to apply to this position. Principals only. EOE

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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