Senior Analyst, Risk & Compliance Transformation

at  LPL Financial

Are you a team player? Are you curious to learn? Are you interested in working in meaningful projects? Do you want to work with cutting-edge technology? 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 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.

JOB OVERVIEW:

LPL Financial is seeking a Senior Analyst, Risk & Compliance Transformation, to champion and drive change across the Risk and Compliance organization. This individual contributor leader will be responsible for driving accountability and executing plans in support of change.

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 experience in compliance or risk-related roles (e.g., compliance, legal or risk) within financial services, preferably wealth management.
• Microsoft Office Suite

Preferences:

• Direct experience in transformation, change management, project management, voice of the customer, and/or process improvement/process efficiency.
• Close collaboration with product management and/or technology teams is preferred.
• 5+ years of experience in compliance or risk-related roles (e.g., compliance, legal or risk) within financial services, preferably wealth management.
• Possesses contagious optimism, embraces change, is passionate about continuous learning, excels in fast-paced environments, and has an entrepreneurial mindset.
• High emotional intelligence; a collaborative and inclusive approach
• Demonstrated passion for understanding and improving customer or stakeholder impact.
• Demonstrated pattern of delivery and execution
• Expert consensus-builder who drives change across initiatives within and outside direct accountability; facilitates critical thinking to create solutions for the most complex business challenges

• Implement routines to coordinate and aggregate reporting on Risk & Compliance Transformation initiatives that are easy to use and timely deliver aggregated insights on the status of key Transformation initiatives;
• Create routines to identify key Transformation initiative updates that should be highlighted and or communicated to key Risk & Compliance stakeholders to support change management for the Transformation
• Assist in driving key projects and initiatives related to the transforming Risk & Compliance by personally owning initiatives, providing PM support to others, serving the needs of project owners, and escalating as needed to drive timely project delivery;
• Support project initiatives by supporting business owners to create project roadmaps, appropriate project governance, and tracking and coordination routines to drove projects to resolution;
• Support Risk and Compliance leadership in developing and evolving strategies to advance transformation initiatives;
• Support the Transformation team as needed to support transformation.