Are you a team player?
Are you curious to learn?
Are you interested in supporting others as they grow their business?
Are you interested in being part of a team that is working to transform and do things differently?
Excited to learn more, 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 18,000 financial advisors, 800 institution-based investment programs and 450 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.
Overview:
The Senior Analyst, Risk Governance will assist in the development of programs and processes to ensure the appropriate oversight and reporting of the firm’s key risks. The position is responsible for the ongoing maintenance of the policy management and committee governance frameworks.
Responsibilities:
- Coordinate across Risk leads and business stakeholders for ongoing framework consistency
- Manage change management process for committee charters and policies
- Support communication plan for new program requirements
- Coordinate with Technology Risk to develop infrastructure for Risk SharePoint
- Perform inventory and gap assessment of policies and committee charters and partner with stakeholders to remediate
- Support policy management and committee governance frameworks
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:
- 3+ years of financial services experience
- BA/BS degree in Finance, Accounting, Business, or Economics (or a related discipline)
Core Competencies:
- Strong attention to detail
- Strong analytical thinking and problem-solving skills
- Strong work ethic and organizational skills
- Ability to take initiative, identify opportunities, and implement change
- Ability to organize and manage multiple priorities
- Strong written and oral communication skills
- Strong Microsoft Office Excel and PowerPoint skills
Pay Range:
$79,680-$119,520/year
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.
Want to hear from our employees on what it’s like to work at LPL? Watch this!
We take social responsibility seriously. Learn more here
Want to see info on our benefits? Learn more here
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 (800) 877-7210.
