Senior Analyst - Sales Practice Risk & Surveillance

LPL Financial LLC; Fort Mill, Town of Charlotte (SC, NY); On-site; USD 78,000 - 130,000; Full time

Benefits offered by this job

401K matching

Health benefits

Employee stock options

Paid time off

Volunteer time off

Job summary

LPL Financial Holdings Inc. is seeking a Senior Analyst, Surveillance Escalations & Sales Practice Risk to oversee escalations and governance within Surveillance.

You will aggregate data, assess supervisory responses, and produce executive-level reporting to help mitigate significant sales practice risks. The role partners with Surveillance leadership to track trends, escalate matters, and strengthen oversight across brokerage and advisory platforms.

Qualifications

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

Responsibilities

• 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 for additional review, challenge, or leadership attention.
• Maintain a formal watch list of significant sales practice matters, including high-risk escalations and elevated regulatory or reputational risk.
• Prepare executive-level reporting and management information packages for Surveillance leadership, summarizing key risks and trends.
• Aggregate and analyze escalation data to identify recurring sales practice risks and opportunities to strengthen risk mitigation.
• Develop and maintain metrics, dashboards, and reporting tools for escalation activity and outcomes.
• Prepare concise written summaries and risk assessments to support leadership decisions.
• Partner with Surveillance stakeholders to improve escalation governance and oversight processes.
• Support special reviews, thematic analyses, and risk assessments related to sales practice concerns.
• Serve as a subject matter resource on sales practice risk trends across brokerage and advisory platforms.

Skills

Surveillance

Compliance

Risk Management

Executive Reporting

Job description

LPL Financial Holdings Inc. is seeking a Senior Analyst, Surveillance Escalations & Sales Practice Risk to oversee escalations and governance within Surveillance.

You will aggregate data, assess supervisory responses, and produce executive-level reporting to help mitigate significant sales practice risks. The role partners with Surveillance leadership to track trends, escalate matters, and strengthen oversight across brokerage and advisory platforms.