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LPL Financial
- Charlotte, NC / Fort Mill, SC
1. Responsible for defining, documenting, and communicating the Project Definition Document (PDD), updating the Project SharePoint Site with all project documents and the SDLC Project Status with artifacts and approvals 2. Lead and Manage the project team deliverables 3. Responsible for driving the Methodology decision used for the project and receives agreement from the project team and the busin
Posted 2 days ago
The Analyst, Third Party Risk & Due Diligence will be responsible for performing comprehensive due diligence on third parties located both domestically and offshore. This due diligence involves assessing various risk domains including information security, financial viability, business continuity, compliance objectives, offshore risks and contractual risk. Prior knowledge in any of the following a
Posted 3 days ago
The Supervisory Principal, as part of the Complex Product Supervision within our Compliance, Legal and Risk division, will be responsible for serving as a subject matter expert for LPL Financial Advisors across the country. This position will be responsible for supervising the suitability for transactions in products ensuring that the assigned advisors are meeting the standards and requirements of
Posted 3 days ago
LPL Financial
- Charlotte, NC / Fort Mill, SC
The ideal candidate will have a strong attention to detail, excellent verbal and written skills and be a team player with a positive attitude. Responsibilities include reconciling, processing and researching status on physical certificate deposits. In addition, the senior operations specialist will be responsible for the ongoing assessment, tracking and reporting of the quality and accuracy of ass
Posted 3 days ago
LPL Financial
- Charlotte, NC / Fort Mill, SC
We are currently looking to hire a Senior Regulatory Analyst within the Regulations & Inquiries department, which is a part of LPL's Compliance, Legal and Risk (CLR) organization. This regulatory position involves a focus on regulatory and examination issues. The individual in this position serves a critical role in the Regulatory Investigations and Inquiries group and works independently in gathe
Posted 5 days ago
LPL Financial
- Charlotte, NC / Fort Mill, SC
Perform reconciliation of cash and securities transactions in the SMA trading system Asist with processing advisors' requests Assist advisors and money managers with trading related questions and issues Work effectively and efficiently with other business units (internal and external) to resolve transaction and data related issues Perform quality control reviews Qualifications Bachelor's Degr
Posted 6 days ago
LPL Financial
- Charlotte, NC / Fort Mill, SC
Perform reconciliation of cash and securities transactions in the SMA trading system Assist with processing advisors' requests Assist advisors and money managers with trading related questions and issues Work effectively and efficiently with other business units (internally and externally) to resolve transaction and data related issues Perform quality control reviews Qualifications Bachelor's Degr
Posted 6 days ago
LPL Financial
- Charlotte, NC / Fort Mill, SC
Specific responsibilities include Communicating directly with our clients (Financial Advisors/Professionals) by phone for up to 90 percent of your day Research complex situations, set client expectations, and define the actions necessary to resolve inquiries Educate clients on the use of technology to monitor, maintain, and service their operational needs Communicate operational and financial indu
Posted 6 days ago
The Assistant Vice President Investigations will be responsible for conducting in depth reviews and investigations into allegations or red flags involving fraud, inappropriate sales practices, and other violations of firm policy by financial advisors affiliated with the Firm. The responsibilities also include review and assessment of the related supervision and risk control activities performed by
Posted 6 days ago
LPL Financial
- Charlotte, NC / Fort Mill, SC
This candidate must be able to work independently and have experience delivering complete automation solutions Automation work will involve gathering information from various systems, individuals, runbooks, service maps, etc Aggregating and correlating the information to understand the critical automation paths, and providing regular reports on KPIs used to track performance of the automated proce
Posted 10 days ago
LPL Financial
- San Diego, CA / Charlotte, NC / Fort Mill, SC
As a part the Quality Assurance team supporting LPL systems, the candidate will be responsible for software test design, scripting and execution for a variety of key customer facing and internal applications. The Engineer is an integral member of the Quality Assurance team and is responsible for helping to ensure the quality of the final product by performing progression, regression and integratio
Posted 10 days ago
LPL Financial
- Charlotte, NC / Fort Mill, SC
Engineer and manage the upgrade of our existing XenApp and XenDesktop infrastructure to include an active/passive or active/active infrastructure to support DR and BCP initiatives. Engineer and manage the migration of our existing Netscaler VPN solution. Documentation of technical procedures, user guides and runbooks for your primary technologies to support operational handoff Initial administrati
Posted 10 days ago
A Cash Management Operations Specialist will be part of a department that is responsible for money movement of cash and/or assets. This person would support various processes within Cash Management that include Journals, Receipts, and Disbursements (Retirement and Non Retirement products). While much of this role will require operational process, this person may also be required to have contact wi
Posted 10 days ago
The Senior Supervisory Principal, as part of the Central Supervision Unit (CSU) within our Compliance, Legal, and Risk division, will be responsible for completing certain supervisory tasks on a daily basis to resolve potential sales practice concerns, and escalate matters to the appropriate persons when warranted. Great emphasis will be placed upon completing tasks according to the established Se
Posted 11 days ago
LPL Financial
- Charlotte, NC / Fort Mill, SC
The Sr Information Security Engineer will be working with GRC and other security teams to mature and maintain the Data Loss Prevention program. This resource will lead and direct efforts that will result in the enhancement of data loss prevention capabilities and improving information security overall. Key Responsibilities Deliver DLP platform enhancements including requirements, design, testing,
Posted 11 days ago
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