Senior Analyst, Surveillance & Sales Practice Risk

LPL Financial; Fort Mill (SC); On-site; USD 78,000 - 130,000; Full time

Benefits offered by this job

401K matching

Health benefits

Employee stock options

Paid time off

Job summary

LPL Financial is seeking a Senior Analyst, Surveillance Escalations & Sales Practice Risk, to oversee governance of escalations, benchmark risks, and deliver executive reporting. The role partners with Surveillance leadership to identify high‑risk issues and drive mitigation across brokerage and advisory platforms.

You will own dashboards, metrics, and MIS for escalations, monitor responses, and produce concise risk assessments to inform governance decisions.

Qualifications

• 5+ years in Surveillance, Compliance, Branch Examinations, Sales Practice Reviews, Risk Management, or related control function.
• Experience creating executive reporting, dashboards, metrics, and management information packages.
• Experience with sales practice reviews and risk mitigation.

Responsibilities

• Own the centralized inventory and governance for Surveillance escalations, tracking, aging, status, and reporting.
• Review supervisory responses and identify matters for escalation or leadership attention.
• Maintain a formal watch list of high-risk matters and aging issues.
• Prepare executive-level reporting and MI packages for Surveillance leadership.
• Aggregate and analyze escalation data to identify recurring risks and trends.
• Develop metrics, dashboards, and tools to provide transparency into escalation activity.
• Prepare concise risk summaries to support governance discussions.
• Partner with Surveillance to improve governance and reporting standards.
• Support special reviews and risk assessments related to sales practice concerns.
• Serve as a subject matter resource on sales practice risk trends.

Skills

Surveillance

Risk management

Executive reporting

Analytics

Tools

Tableau

Excel

Job description

LPL Financial is seeking a Senior Analyst, Surveillance Escalations & Sales Practice Risk, to oversee governance of escalations, benchmark risks, and deliver executive reporting. The role partners with Surveillance leadership to identify high‑risk issues and drive mitigation across brokerage and advisory platforms.

You will own dashboards, metrics, and MIS for escalations, monitor responses, and produce concise risk assessments to inform governance decisions.