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Sr. Analyst

Job ID: R-005811 Date posted: 04/04/2019 Primary Location SC-Fort Mill Other Locations CA-San Diego

LPL is actively seeking an experienced Sr. Analyst within our Service, Trading and Operations team.  This individual will be working and leading projects that are key to a rapidly changing regulatory environment.  The role will work closely with the Risk Management leadership 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 senior leadership within the Service, Trading and Operations teams within the firm.

Responsibilities Include:

  • Identify key project members and facilitate project team meetings
  • Develop and maintain full scale project plans to ensure milestones and deliverables are tracked to closure
  • Resolve issues and errors through root cause analysis and providing corrective solutions
  • Determine potential impact on the organization’s risk posture
  • Track project budget and resource needs
  • Deliver effective reporting of project progress to key stakeholder on a consistent basis
  • Effectively escalate issues to appropriate levels of management
  • Manage project timelines and corrective plans to closure
  • Perform data analysis to help Operations departments develop an approach to risk management 


    Essential Business Experience and Technical Skills:

  • 5+ years of relevant experience (preferably financial services) in several disciplines (project management, operations, and risk management)
  • Strong project management, time management, communication, and presentation skills
  • Demonstrated experience with all Microsoft applications, particularly, Excel, VISIO, PowerPoint, and Word
  • Ability to aggregate, analyze, and interpret data
  • Effective leadership and collaboration with various levels throughout the organization
  • 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