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Where Ambition Meets Innovation

Build a career that matches all your initiative with an impressive dose of innovation. From cutting-edge resources and a collaborative environment to the freedom to make an impact and more, you’ll find the ingredients you need at LPL Financial to shape your success while helping clients pursue their financial goals.

Private Trust Company (PTC), an affiliate of LPL Financial, is a growing, entrepreneurial business located in Cleveland, Ohio. PTC assists families with a wide range of financial management needs, with a strong concentration on the planning and implementation of wealth transfers to future generations, charities, and the broader community. We combine the sophistication of experienced trust and investment officers with an exceptional client-service model. The Risk Management Specialist will report directly to the VP, and will be primarily responsible for managing and executing the Fiduciary Risk Management and Self-Assurance Program, including oversight of PTC’s illiquid asset program. The analyst will also support risk reporting, operational governance, and assurance activities across all business channels.

Responsibilities:

Illiquid Securities Risk Oversight

Provide day-to-day management of the illiquid asset risk program, including:

• Maintaining and updating dashboards and reporting for all illiquid assets to the Trust Investment Committee.
• Managing program documentation including policies, procedures, checklists, and correspondence.
• Working with Trust Officers, Investment Advisors, prior trustees, and/or beneficiaries to ensure proper asset ownership records and KYC documentation.
• Ensuring appropriate insurance coverage, tax payments, and other asset-related responsibilities are tracked and completed.
• Developing and maintaining processes for disbursements related to illiquid assets.
• Monitoring assets with stale pricing or no stated value and coordinating follow-up.
• Performing additional illiquid asset oversight duties as needed.

Risk Management & Self-Assurance Activities

Responsibilities include:

• Managing the continuous improvement and execution of the Fiduciary Risk Management and Self-Assurance Program.
• Conducting reviews and testing related to account administration, investment processes, and operational practices.
• Leading discussions at management committees regarding emerging risks identified through testing and monitoring.
• Recommending process enhancements to reduce the organization’s overall risk profile.
• Reporting test results, insights, and recommendations through the committee and governance structure.
• Creating, reviewing, and updating risk assessments, policies, procedures, and internal training materials.
• Supporting oversight of custodial retirement accounts, including management of meeting calendars and program effectiveness reporting.
• Assisting with internal and external reviews or examinations as needed.
• Managing and monitoring the governance calendar for financial, fiduciary, and I/T-related milestones.
• Organizing internal training to ensure key risk topics and requirements are communicated and understood.
• Coordinating and participating in Administrative Governance Committee meetings and presenting relevant risk and assurance updates.
• Evaluating impacts of new or proposed regulatory standards to identify risk implications and recommend mitigation strategies.
• Supporting administration and operations teams as needed, including assisting with tax return processing and other reporting.
• Participating in special projects, risk reviews, and reporting initiatives as required.

What are we looking for?

We’re looking for strong collaborators who deliver exceptional client experiences and thrive in fast-paced, team-oriented environments. Our ideal candidates pursue greatness, act with integrity, and are driven to help our clients succeed. We value those who embrace creativity, continuous improvement, and contribute to a culture where we win together and create and share joy in our work.

Requirements

• Undergraduate degree
• 4–6 years of experience in trust operations, brokerage, investment services, or a related financial field.

Core Competencies:

• Computer and analytical skills.
• Excellent communication and client-service abilities.
• Attention to detail; highly organized, efficient, and accuracy-focused.
• Professional presence and ability to engage in thoughtful, constructive debate in executive-level settings.
• Comfort interacting with internal staff at all levels as well as external parties including examiners, auditors, board members, parent-company executives.

Preferences:

• Knowledge of financial accounting, fiduciary concepts, bank operations, and trust laws (including principal and income accounting) is beneficial.

Pay Range:

$26.41-$44.01/hour

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) is among the fastest growing wealth management firms in the U.S. As a leader in the financial advisor-mediated marketplace, LPL supports over 32,000 financial advisors and the wealth management practices of approximately 1,100 financial institutions, servicing and custodying approximately $2.3 trillion in brokerage and advisory assets on behalf of approximately 8 million Americans. The firm provides a wide range of advisor affiliation models, investment solutions, fintech tools and practice management services, ensuring that advisors and institutions have the flexibility to choose the business model, services, and technology resources they need to run thriving businesses.

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?

• Innovative Environment: We foster creativity and growth, providing a supportive and responsive leadership team.
• Limitless Career Potential: Your career at LPL has no limits, only amazing potential.
• Unified Mission: We are one team on one mission—taking care of our advisors so they can take care of their clients.
• Impactful Work: Our size is just right for you to make a real impact.
• Commitment to Equality: We support workplace equality and embrace diverse perspectives and backgrounds.
• Community Focus: We care for our communities and encourage our employees to do the same.
• 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.

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.