lpl financialFort Mill, SC
Senior Analyst, Surveillance & Sales Practice Risk
Senior Analyst, Surveillance & Sales Practice Risk
Senior Analyst, Surveillance & Sales Practice Risk
lpl financialFort Mill, SC
yesterday
Financial and Investment AnalystsSecurities, Commodities, and Financial Services Sales AgentsFinancial Risk Specialists
Investment Banking and Securities IntermediationPortfolio Management and Investment AdviceMiscellaneous Financial Investment Activities
Apply for this role →LPL Financial is seeking a Senior Analyst, Surveillance Escalations & Sales Practice Risk, to oversee governance of escalations, benchmark risks, and deliver executive reporting. The role partners with Surveillance leadership to identify high‑risk issues and drive mitigation across brokerage and advisory platforms.
You will own dashboards, metrics, and MIS for escalations, monitor responses, and produce concise risk assessments to inform governance decisions.
Also on the board Same function, level within a rung
Level
Senior
Location
Fort Mill, SC
Occupation
Financial and Investment Analysts
Industry
Investment Banking and Securities Intermediation
Posted
yesterday