Analyst, Operational Risk Management

Are you solution-oriented and passionate about delivering results? Do you like thinking outside the box, learning new skills and problem solving? Are you interested in being part of a team that is working to transform and do things differently? If so, LPL Financial is the place for you!

LPL Financial (Nasdaq: LPLA) was founded on the principle that the firm should work for the advisor, and not the other way around. Today, LPL is a leader* in the markets we serve, supporting more than 22,000 financial advisors, 1,100 institution-based investment programs, and 500 independent RIA firms nationwide. We are steadfast in our commitment to the advisor-centered model and the belief that Americans deserve access to personalized guidance from a financial advisor. At LPL, independence means that advisors have the freedom they deserve to choose the business model, services, and technology resources that allow them to run their perfect practice. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors, so they can take care of their clients.

Role Overview:

Under the direction of the AVP, Operational Risk, the Analyst, Operational Risk, will support the development and maintenance of operational risk programs and frameworks to ensure a transparent approach to defining, measuring, monitoring and reporting the firm’s risks. The position will assist in helping to drive advancement and maturity of the Operational Risk Management programs, the maintenance and support of the Risk Assessments and Issue Management programs, as well as assisting in additional risk functions as needed.

Responsibilities:

• Assist with the coordination and advancement of multiple risk management workstreams

• Assist with the development, maintenance, performance, and reporting of operational risk assessments and processes.

• Assist with the coordination and aggregation of risks for decision-making

• Assist in the development of materials for management meetings, initiatives/status, etc.

• Work in collaboration with multiple departments and business partners to create and manage issue populations

• Ad hoc analysis and additional responsibilities as required.

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.

Requirements:

• BA/BS degree in Finance, Accounting, Business, or Economics (or a related discipline)

• 2+ years of experience in financial services

Core Competencies:

• Effective communication, presentation, and writing skills.

• Strong organizational skills with attention to detail and the ability to prioritize workload in order to meet deadlines in an environment of continually changing priorities.

• Ability to work comfortably with incomplete information and deal with ambiguity in a fast-paced environment.

• Detail orientated with strong analytical skills and ability to synthesize complex data.

• High level of motivation and initiative to reach out and help other areas when necessary.

Preferences:

• A high level of proficiency in MS Excel or SharePoint

• Critical thinking and ability or willingness to escalate to leaders when needed to ensure timely deliverables

Pay Range:

$25.64-$42.73/hour

Actual base salary varies based on factors, including but not limited to, relevant skill, prior experience, education, base salary of internal peers, demonstrated performance, and geographic location. Additionally, LPL Total Rewards package is highly competitive, designed to support your success at work, at home, and at play – such as 401K matching, health benefits, employee stock options, paid time off, volunteer time off, and more. Your recruiter will be happy to discuss all that LPL has to offer!

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.

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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 @lplfinancial.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 (855) 575-6947.