Senior Analyst, Sales Practice Risk & Escalations Governance

LPL Financial; Charlotte (NC); Presencial; USD 78 000 - 130 000; Tempo integral

Vantagens oferecidas por esta oferta de emprego

401K matching

Health benefits

Employee stock options

Paid time off

Resumo da oferta

LPL Financial is seeking a Senior Analyst for Surveillance Escalations & Sales Practice Risk in Charlotte, NC. The role oversees escalations, governance, and executive reporting to support risk mitigation and leadership decision-making.

You will aggregate data, monitor trends, and develop dashboards, partnering with Surveillance leadership to enhance reporting standards and oversight. The position emphasizes senior-level collaboration and regulatory awareness.

Qualificações

• 5+ years of experience in Surveillance, Compliance, Branch Examinations, Sales Practice Reviews, Risk Management, or a related financial services control function.
• Experience investigating and resolving complex sales practice matters and evaluating the adequacy of risk mitigation efforts.
• Experience creating executive reporting, dashboards, metrics, and management information packages for senior leadership.

Responsabilidades

• Own the centralized inventory and governance process for Surveillance-generated sales practice escalations, including tracking, aging, status monitoring, and resolution reporting.
• Review and assess supervisory responses to surveillance escalations and identify matters that may warrant additional review, challenge, or leadership attention.
• Maintain a formal watch list of significant sales practice matters, including high-risk escalations, repeated concerns, aging issues, and matters involving elevated regulatory or reputational risk.
• Prepare executive-level reporting and management information packages for Surveillance leadership, summarizing key risks, escalation outcomes, emerging trends, and matters requiring oversight.
• Aggregate and analyze escalation data to identify recurring sales practice risks, supervisory response trends, and opportunities to strengthen risk mitigation efforts.
• Develop and maintain metrics, dashboards, and reporting tools that provide transparency into escalation activity and outcomes.
• Prepare concise written summaries and risk assessments to support leadership decision-making and governance discussions.
• Partner with Surveillance stakeholders to improve escalation governance, reporting standards, and oversight processes.
• Support special reviews, thematic analyses, and risk assessments related to sales practice concerns and supervisory effectiveness.
• Serve as a subject matter resource on sales practice risk trends across brokerage and advisory platforms.

Conhecimentos

Surveillance

Risk management

Executive reporting

Escalation governance

Analytical reporting

Descrição da oferta de emprego

LPL Financial is seeking a Senior Analyst for Surveillance Escalations & Sales Practice Risk in Charlotte, NC. The role oversees escalations, governance, and executive reporting to support risk mitigation and leadership decision-making.

You will aggregate data, monitor trends, and develop dashboards, partnering with Surveillance leadership to enhance reporting standards and oversight. The position emphasizes senior-level collaboration and regulatory awareness.