Job Overview:
We are seeking a highly skilled and experienced Senior Analyst to support our Technology and Product Risk Management program. The candidate will play a critical role in identifying, assessing, and mitigating risks associated with our financial products, services, and technology. This role requires a deep understanding of risk management practices and a proactive approach to safeguarding the company's interests.
Responsibilities:
- Build relationships and engage frequently with technology leaders
- Maintain a positive relationship with auditors
- Schedule, coordinate and/or facilitate meetings to include the capture of key action items and/or discussion
- points between technology and assurance teams or regulators
- Validation of preliminary audit findings and support for root cause analysis and impact assessments
- Work with Technology control owners and performers to define Management Action Plans (MAPs) to remediate audit findings
- Identify potential risks associated with new and existing financial products
- Utilize quantitative and qualitative methods to analyze risk exposure
- Develop and implement effective risk mitigation strategies and controls
- Collaborate with cross-functional teams to design and execute risk management plans
- Monitor the effectiveness of risk mitigation strategies and adjust as needed
- Continuously monitor risk levels and emerging risks within the product portfolio
- Prepare detailed risk reports and presentations for senior management and regulatory bodies
- Maintain accurate and up-to-date documentation of risk management activities
- Provide risk-related insights and recommendations to senior management and product teams.
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:
- Bachelor's Degree in Information Systems or related field, or equivalent experience
- 4+ years or more of experience in a technology risk or audit-related role
- Knowledge of attestation engagements (Sarbanes Oxley, SSAE 16 SOC 1/2)
- CRISC, CISA, CISM or CISSP certification, a plus
Core Competencies:
- Strong project management skills
- Effective verbal and written communication
- Ability to interface with all levels of staff and management
- Financial services industry experience preferred
Pay Range:
$90,188-$150,313/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!
Company Overview:
LPL Financial Holdings Inc. (Nasdaq: LPLA) was founded on the principle that the firm should work for advisors and institutions, and not the other way around. Today, LPL is a leader in the markets we serve, serving more than 23,000 financial advisors, including advisors at approximately 1,000 institutions and at approximately 580 registered investment advisor ("RIA") firms nationwide. We are steadfast in our commitment to the advisor-mediated model and the belief that Americans deserve access to personalized guidance from a financial professional.
At LPL, independence means that advisors and institution leaders have the freedom they deserve to choose the business model, services, and technology resources that allow them to run a thriving business. They have the flexibility to do business their way. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors and institutions, so they can take care of their clients.
Join LPL Financial: Where Your Potential Meets Opportunity
At LPL Financial, we believe that everyone deserves objective financial guidance. As the nation’s leading independent broker-dealer, we offer an integrated platform of cutting-edge technology, brokerage, and investment advisor services.
Why LPL?
- Innovative Environment: We foster creativity and growth, providing a supportive and responsive leadership team. Learn more about our leadership team here!
- Limitless Career Potential: Your career at LPL has no limits, only amazing potential. Learn more about our careers here!
- Unified Mission: We are one team on one mission—taking care of our advisors so they can take care of their clients. Learn more about our mission and values here!
- Impactful Work: Our size is just right for you to make a real impact. Learn more here!
- Commitment to Equality: We support workplace equality and embrace diverse perspectives and backgrounds. Learn more here!
- Community Focus: We care for our communities and encourage our employees to do the same. Learn more here!
- Benefits and Total Rewards: Our Total Rewards package goes beyond just compensation and insurance. It includes a mix of traditional and unique benefits, perks, and resources designed to enhance your life both at work and at home. 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 (855) 575-6947.
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