Sr. Analyst, STO Risk Management

LPL Financial   •  

San Diego, CA

Industry: Financial Services


5 - 7 years

Posted 296 days ago

This job is no longer available.

The Sr. Analyst within the STO Risk Management team will be responsible for leading projects that are key for a rapidly changing regulatory environment.  The role will work closely with the AVP of STO Risk Management, various operational and service units throughout STO (Service Trading and Operations), Compliance, Legal and Risk (CLR), Technology and other departments within LPL to identify, analyze, and present process solutions that help mitigate risks.   The candidate must be able to multi-task, have excellent interpersonal and organizational skills and strong analytical skills.  The role will require clear and consistent reporting to senior leadership within STO and the firm.

Responsibilities Include:

  • •Identify key project members and coordinate project team meetings
  • •Consistent use of project templates including agendas, meeting minutes, and project plans
  • •Develop and maintain full scale project plan documentation to ensure milestones and deliverables are tracked successfully to closure
  • •Manage project timelines
  • •Track project budget and resource needs
  • •Communicate effectively project progress, risks, and issues to key stakeholder on a consistent basis
  • •Analyze data to help STO develop a more proactive and anticipatory approach to risk management 
  • •Ensure ongoing analysis of risks, vulnerabilities, and market trends
  • •Determine potential impact on the organization’s risk posture
  • •Assist in benchmarking STO effectiveness against industry standards and peer firms
  • •Continually access and identify new risk items within STO
  • •Ongoing review and remediation of identifiedriskitems


  • •6+ years of industry experience (preferably financial services) in several disciplines (project management, business analyst, operations, internal audit, compliance, risk management, otherinternal controls)
  • •Strong project management, communication, and presentation skills
  • •Ability to multi-task in a fast paced environment
  • •Ability to work independently
  • •Ability to aggregate, analyze, and interpret operational data
  • •Ability to manage and lead effectively in an ever changing environment (both corporate and regulatory)
  • •Ability to work with and communicate effectively to various levels throughout the organization
  • •Ability to leverageothers’ expertise andexperience in identifying, evaluating and mitigatingrisks within STO


  • •Series 7, 24, 63 and 65 (66) preferred
  • •All Microsoft applications, particularly, VISIO, WORD, ACCESS, PowerPoint and Excel

    Soft Skills Required:

  • •Excellent verbal and written communication skills
  • •Personable and reliable self-starter who requires minimal management oversight for day-to-day work responsibilities
  • •Strong attention to detail with a pro-active approach to solving and preventing problems
  • •Ability to work under pressure/deadlines and manage multiple priorities
  • •Ability to interface effectively with various levels of employees
  • •Strong time management and organizational skills
  • •Highly motivated and able to adapt to changing priorities

Job ID: R-001930.