Are you a team player with a growth mindset? Are you interested in working in meaningful projects? Do you want to work with cutting-edge technology? Are you interested in being part of a team that is working to transform and do things differently? If so, LPL Financial is the place for you!
Job Description:
We are seeking a detail-oriented and proactive HR Risk Management Analyst to join our Human Resources team.
The ideal candidate must be able to balance multiple priorities and projects, possess excellent interpersonal and organizational skills, and work independently while collaborating across multiple functions. This role will support the centralized risk and governance organization within Human Resources, proactively identifying, assessing and mitigating risks to the organization. In addition to supporting audit and business continuity/resiliency risk areas, this role will partner closely with internal and external auditors, and other key functional areas across the firm.
Responsibilities:
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Support the centralized risk and governance function within Human Resources by identifying, assessing, and mitigating risk related to HR operations standards and practices.
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Work closely with Enterprise Risk Management and Operation Risk Management teams to align HR risk practices with enterprise-wide risk management frameworks and strategies.
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Partner with Sourcing & Procurement and vendor management teams to ensure robust due diligence is conducted and vendor risk assessments, mitigating any risk related to third-party relationships with HR.
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Collaborate with information security teams to ensure that HR data and processes comply with data protection policies and that any potential security risks are identified and mitigated.
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Continuously review HR risk management policies and processes, identifying areas for improvement and implementing changes to enhance efficiency and risk mitigation.
What are we looking for?
We want strong collaborators who can deliver a world-class client experience. We are looking for people who thrive in a fast-paced environment, are client focused, team oriented, and are able to execute in a way that encourages creativity and continuous improvement.
Requirements:
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Bachelor's degree in risk management, Business, Human Resources or related field or relevant experience.
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2-4 years of experience in risk management, audit, project management or similar role.
Core Competencies:
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Knowledge of and experience with Sarbanes Oxley (SOX), SSAE 16, FICCA, SEC Rule 17A-5, etc.
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Strong understanding of risk management framework and practices preferred.
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Experience in drafting and delivering risk related updates/communications to a variety of audiences
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Must be highly adaptable and comfortable with performing a wide variety of tasks
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Risk management experience working for a broker/dealer or in the Financial Services industry, preferred
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Knowledge of and experience with interpreting and keeping abreast of risk related laws/regulations
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Experience supporting a Human Resources department from a risk perspective
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Ability to adhere to deadlines, and be agile and flexible to quickly respond to changes, based on business needs
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High level of analytical and problem-solving skills, desire to learn quickly, be flexible and think strategically with attention to detail and quality assurance
Preferences:
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Proficiency with Microsoft Office, especially Excel, Word and SharePoint
Pay Range:
$71,325-$118,875/year
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. Additionally, LPL Total Rewards package is highly competitive, designed to support your success at work, at home, and at play – such as 401K matching, health benefits, employee stock options, paid time off, volunteer time off, and more. Your recruiter will be happy to discuss all that LPL has to offer!
Company Overview:
LPL Financial Holdings Inc. (Nasdaq: LPLA) was founded on the principle that the firm should work for advisors and institutions, and not the other way around. Today, LPL is a leader in the markets we serve, serving more than 23,000 financial advisors, including advisors at approximately 1,000 institutions and at approximately 580 registered investment advisor ("RIA") firms nationwide. We are steadfast in our commitment to the advisor-mediated model and the belief that Americans deserve access to personalized guidance from a financial professional.
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 LPL Financial: Where Your Potential Meets Opportunity
At LPL Financial, we believe that everyone deserves objective financial guidance. As the nation’s leading independent broker-dealer, we offer an integrated platform of cutting-edge technology, brokerage, and investment advisor services.
Why LPL?
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Innovative Environment: We foster creativity and growth, providing a supportive and responsive leadership team. Learn more about our leadership team here!
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Limitless Career Potential: Your career at LPL has no limits, only amazing potential. Learn more about our careers here!
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Unified Mission: We are one team on one mission—taking care of our advisors so they can take care of their clients. Learn more about our mission and values here!
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Impactful Work: Our size is just right for you to make a real impact. Learn more here!
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Commitment to Equality: We support workplace equality and embrace diverse perspectives and backgrounds. Learn more here!
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Community Focus: We care for our communities and encourage our employees to do the same. Learn more here!
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Benefits and Total Rewards: Our Total Rewards package goes beyond just compensation and insurance. It includes a mix of traditional and unique benefits, perks, and resources designed to enhance your life both at work and at home. Learn more here!
Join the LPL team and help us make a difference by turning life’s aspirations into financial realities. Please log in or create an account to apply to this position. Principals only. EOE.
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 (855) 575-6947.
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Top Skills
What We Do
Financial advice is changing, and at LPL Financial, we’re at the forefront. We’re building a future where advisors can—with no friction or complexity, as simple as turning the dials—pick the business model, services, technology, and product mix that best meet their clients’ needs.
With one platform, one sign-on, and one team to call, you can take your business anywhere you want it to go. There are no limits to your growth, and we’ll partner with you every step of the way.
Your greatness is our goal.
LPL Financial is a leader in the retail financial advice market and the nation’s largest independent broker/dealer*. We serve independent financial advisors and financial institutions, providing them with the technology, research, clearing and compliance services, and practice management programs they need to create and grow thriving practices. LPL enables them to provide objective guidance to millions of American families seeking wealth management, retirement planning, financial planning and asset management solutions. LPL.com
Securities and Advisory Services offered through LPL Financial. A registered investment advisor, Member FINRA/SIPC.
