Sr. Analyst, Surveillance Escalations & Sales Practice Risk

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

Where Ambition Meets Innovation

Build a career that matches all your initiative with an impressive dose of innovation. From cutting-edge resources and a collaborative environment to the freedom to make an impact and more, you'll find the ingredients you need at LPL Financial to shape your success while helping clients pursue their financial goals.

Job Overview

The Senior Analyst, Surveillance Escalations & Sales Practice Risk, plays a critical role within the Surveillance organization by providing oversight, governance, and reporting of sales practice escalations generated through Surveillance reviews. This position is responsible for aggregating and monitoring surveillance escalations, assessing supervisory responses, identifying matters requiring additional leadership attention, and producing executive-level reporting that supports effective risk mitigation. The role serves as a key partner to Surveillance leadership by helping ensure significant sales practice risks are appropriately tracked, challenged, and escalated while providing meaningful insight into emerging trends and supervisory effectiveness.

Roles & 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 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.

What are we looking for?

We're looking for strong collaborators who deliver exceptional client experiences and thrive in fast-paced, team-oriented environments. Our ideal candidates pursue greatness, act with integrity, and are driven to help our clients succeed. We value those who embrace creativity, continuous improvement, and contribute to a culture where we win together and create and share joy in our work.

Requirements

• 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.

Core Competencies

• Strong understanding of brokerage and advisory business models, supervisory frameworks, and sales practice risks.
• Exceptional written, verbal, analytical, and organizational skills with the ability to synthesize complex issues into concise and actionable reporting.
• Ability to assess sales practice risk Escalation Governance & Issue Management skills Risk Analysis & Trend Identification

Preferences

• Prior experience with FINRA, another regulatory organization, or examination function.
• Working knowledge of equities, fixed income, options, structured products, and advisory business models.

Pay Range

$77,971.00 - $129,883.00 Actual base salary varies based on factors, including but not limited to, relevant skill, prior experience, education, base salary of internal peers, demonstrated performance, and geographic location.

Benefits

• 401K matching
• Health benefits
• Employee stock options
• Paid time off
• Volunteer time offMore.

Company Overview

LPL Financial Holdings Inc. (Nasdaq: LPLA) is among the fastest growing wealth management firms in the U.S. As a leader in the financial advisor-mediated marketplace(6) , LPL supports over 32,000 financial advisors and the wealth management practices of approximately 1,100 financial institutions, servicing and custodying approximately $2.3 trillion in brokerage and advisory assets on behalf of approximately 8 million Americans.

The firm provides a wide range of advisor affiliation models, investment solutions, fintech tools and practice management services, ensuring that advisors and institutions have the flexibility to choose the business model, services, and technology resources they need to run thriving businesses.

For further information about LPL, please visit www.lpl.com.

At LPL, independence means that advisors and institution leaders have the freedom they deserve to choose the business model, services, and technology resources that allow them to run a thriving business. They have the flexibility to do business their way. And they have the freedom to manage their client relationships, because they know their clients best.

Simply put, we take care of our advisors and institutions, so they can take care of their clients.

Join the LPL team and help us make a difference by turning life's aspirations into financial realities.

LPL Financial is the nation's largest independent broker-dealer.*

Our company is widely known for its financial strength, exceptional service, and favorable industry reputation among financial professionals.

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

To learn more about our organization visit our About LPL page.

Information on Interviews

LPL will only communicate with a job applicant directly from an @lplfinancial.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 [phone].

Eligibility & Equal Opportunity

Principals only. EOE.