Surveillance Escalations & Sales Practice Risk Lead

lplfinancial

Fort Mill (SC)

On-site

USD 78,000 - 130,000

Full time

5 days ago

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Benefits offered by this job

401K matching

Health benefits

Employee stock options

Paid time off

Job summary

LPL Financial Holdings Inc. is seeking a Senior Analyst for Surveillance Escalations & Sales Practice Risk in Fort Mill, SC. The role oversees governance of escalations, aggregates data, and prepares executive reporting to guide leadership decisions and risk mitigation.

Responsibilities include developing dashboards and metrics, identifying recurring risks, and partnering with Surveillance to improve governance and oversight. Strong collaboration across teams is essential to success.

Qualifications

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

Responsibilities

Own centralized inventory and governance for escalations, tracking, aging, status monitoring, and reporting.
Review supervisory responses to escalations and identify matters needing leadership attention.
Maintain a formal watch list of significant sales practice matters including high‑risk escalations and regulatory risk.