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Senior Compliance Analyst, Technology at LPL Financial in Fort Mill, South Carolina

Posted in Other 30+ days ago.

Type: Full Time

Job Description:

The Senior Analyst, Technology Compliance, is responsible for contributing to the Firm s risk mitigation efforts by performing Information Technology control and compliance testing activities. This position will provide guidance and collaborate with other team members to perform day-to-day testing activities. This program will support the identification, assessment, and documentation of operational and regulatory risks that are a result of failed internal processes, systems or controls. The Senior Compliance Analyst is the subject matter expert on risk identification, assessment, and testing and will maintain a high level of knowledge, expertise and practice within this capacity.

The Technology Compliance Testing team is part of LPL's Compliance, Legal, and Risk (CLR) division that supports the organization in monitoring, measuring and managing the company's regulatory and operational risk exposures. While this role reports to the Manager of Technology Compliance Testing, you ll closely align with the Technology leadership team, Compliance Risk Assessment team and Internal Audit to plan, coordinate and execute the annual testing activities.


Control Compliance Testing Program Execution (80%)

* Evaluate Information technology control activities to detect violations of Firm policies and/or regulatory rules and requirements (e.g., FINRA, MSRB, NFA and SEC).

* Test the design, operating effectiveness, efficiency and appropriateness of operational processes and controls.

* Create and maintain effective working papers and documentation of testing procedures and outcomes.

* Present testing results to management and obtain management s plan of action to remediate findings.

* Evaluate the adequacy of management s remediation of issues discovered through various assurance activities at the Firm (remediation testing).

* Clearly communicate the risks associated with control testing failures/gaps to Technology Compliance Testing leadership

Control Design Consultation (20%)

* Assist technology partners in process mapping activities

* Advise technology departments on proper location and design of controls.


* Bachelor s degree (Accounting, Computer Science or related field preferred

* Minimum of 5 years regulatory compliance experience, audit, or control testing in financial services.

* Minimum of 2 years assessing controls against Information Technology frameworks (e.g. COBIT, COSO, NIST 800-53, ITIL, ISO20001/2)

* Working knowledge of FINRA and SEC trading laws and regulations


* 3 or more years of experience in a Big-4 Accounting/Consulting firm focused in financial services and technology controls and testing

* 1-2 years Agile Project Management experience

* Deep knowledge of information technology concepts

* Working knowledge of the three lines of defense model of risk management

* Ability to interact and collaborate well with all levels of the organization, including senior executives, as well as external partners or vendors

* A proven self-starter who is able to operate in a matrixed environment

* Stellar written and oral communication skills

* Graceful under pressure, resilient, and flexible in the face of change

* Comfortable working under tight deadlines with ability to deliver quality work quickly

* Strong organization skills

* Advanced knowledge in Microsoft Excel including basic formulas, pivot tables, functions, etc.


* Compliance platforms such as Archer, Actimize, Mantas, etc.

* Data Management and Governance

* SQL knowledge

* Knowledgeable in analytics and data science methodologies

* Data Visualization software (e.g. Qlik, Tableau, Power BI, etc.)


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 4,200 employees with primary offices in Boston, Charlotte, and San Diego.

*As reported by Financial Planning magazine, June 1996-2019, based on total revenue.


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 log in or create an account to apply to this position. Principals only. EOE.


LPL will only communicate with a job applicant directly from an @LPL.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.