Sr. Analyst, Compliance

LPL Financial•Fort Mill, SC

1d•$75,293 - $125,454

About The Position

The Senior Analyst, Compliance- Information Lifecycle Management, will primarily be responsible for performing second-line controls intended to provide oversight of the firm’s regulatory Books and Records requirements. Additionally, the Senior Analyst will contribute to the Firm’s overall risk mitigation efforts by supporting the identification, assessment, documentation, and correction of operational and regulatory risks that are a result of failed internal processes, systems or controls, particularly with regard to leveraged technology. The right candidate will have an ability to mitigate risk and enforce compliance, a passion for technology, and an innate desire to continuously learn, improve, and evolve. They will have the courage and skillset necessary to solve complex business problems in an efficient and collaborative manner. The candidate also will have the ability to manage multiple stakeholders and complex cross-functional projects working in a fast-paced and deadline-driven environment. Additionally, they will strive to be a Subject Matter Expert in risk identification, assessment, mitigation and will maintain a high level of knowledge, expertise and practice within this capacity.

Requirements

Bachelor's degree in Business, Technology/MIS, Finance, or a related field
3-5 years’ experience in the financial services industry
Candidate must have excellent verbal and written communication skills and be entirely comfortable presenting facts, ideas and opinions to executives or large groups of people
Knowledge in Microsoft Excel including basic formulas, pivot tables, functions, etc.

Nice To Haves

Working knowledge of SEC (17a-3 and 17a-4), FINRA, NFA, CFTC, and MSRB rules, especially Books and Records requirements
Working knowledge and understanding of the functions of electronic records management systems, including their capabilities, risk management intent and issues such as metadata, security, privacy, and access
Experience in M&A and project management
Series 7 or Series 99 a plus
Worked in the financial services Industry in a compliance, legal, technology or risk capacity; OR worked in a Big-4 Accounting/Consulting firm
Knowledge of SQL, Tableau, SharePoint, Smartsheet, JIRA/Confluence, Alteryx a plus

Responsibilities

Manage end-to-end M&A project execution including coordinating cross-functional teams; facilitate communication among internal stakeholders, senior leadership and vendors while ensuring compliance with regulatory requirements throughout the project.
Develop, maintain and track detailed project plans, timelines and deliverables; identify risks and implement mitigation plans to maintain timelines; prepare status reports and presentations
Support all technology related aspects of an effective and compliant Books and Records management program, including ongoing oversight of record ingestion into the Firm’s electronic storage media, gap remediation, when necessary, the establishment and testing of new ingestion processes, and other tasks related to the firm’s official electronic repositories;
Assess risk to the firm’s recordkeeping obligation resulting from new and changes to business processes, policies, regulations, LPL offered products, vendors, technology infrastructure and enhancements to systems and applications;
Analyze new record types, or changes to existing record types, to provide input on archival requirements, including identification of all regulatory requirements/rules, assigning appropriate retention, specifying required metadata, confirming retrievability, and ensuring the firm’s Records Inventory is updated accordingly;
Clearly communicate the risks associated with the performance of controls to leadership, technology, business owners and other stakeholders;
Effectively build and execute processes and controls designed to manage an effective Books and Records compliance program and continue to assess and strengthen these processes;
Work closely with subject matter experts and senior leaders across the entire organization through the annual process of refreshing the Firm’s records inventory;
Support corporate initiatives that impact the Firm’s management of data and records
Provide needed support to financial advisors on matters relating to the branch offices’ adherence to books and records regulations and policies;
Support the record destruction process (both physical and electronic);
Enhance the knowledge and awareness of LPL employees and advisors regarding all aspects of records management