Sr. Analyst, Surveillance Escalations & Sales Practice Risk

LPL Financial • Charlotte, NC

6d

About The Position

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.

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.
• 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

Nice To Haves

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

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.

Benefits

• 401K matching
• health benefits
• employee stock options
• paid time off
• volunteer time off

What This Job Offers

• Job Type: Full-time
• Career Level: Senior
• Education Level: No Education Listed