Sr. Analyst, Surveillance Escalations & Sales Practice Risk (Fintech)

Location: Fort Mill/Charlotte, United States

Salary: $77,971–$129,883 per year

Company

hirify.global is a U.S. wealth management firm providing advisor affiliation models, investment solutions, fintech tools, and practice management services to financial advisors and institutions.

What you will do

• Own the centralized inventory and governance process for surveillance-generated sales practice escalations, including tracking, aging, status monitoring, and resolution reporting.
• Review supervisory responses, challenge inadequate risk mitigation, and identify matters requiring additional leadership attention.
• Maintain a watch list of high-risk, repeated, aging, regulatory, and reputational matters.
• Prepare executive reporting, management information packages, written risk assessments, dashboards, and metrics.
• Analyze escalation data to identify recurring sales practice risks, supervisory trends, and improvement opportunities.
• Partner with Surveillance stakeholders on special reviews, thematic analyses, governance standards, and oversight processes.

Requirements

• 5+ years of experience in Surveillance, Compliance, Branch Examinations, Sales Practice Reviews, Risk Management, or a related financial services control function.
• Experience investigating and resolving complex sales practice matters and evaluating risk mitigation efforts.
• Experience creating executive reporting, dashboards, metrics, and management information packages for senior leadership.
• Strong understanding of brokerage and advisory business models, supervisory frameworks, and sales practice risks.
• Exceptional written, verbal, analytical, and organizational skills, with the ability to synthesize complex issues into concise, actionable reporting.
• Ability to assess sales practice risk, manage escalations, identify trends, and support issue governance.

Nice to have

• Prior experience with FINRA, another regulatory organization, or an examination function.
• Working knowledge of equities, fixed income, options, structured products, and advisory business models.

Culture & Benefits

• Collaborative, team-oriented environment focused on integrity, continuous improvement, and client success.
• 401(k) matching and health benefits.
• Employee stock options and paid time off.
• Volunteer time off and additional total rewards.

Hiring process

• Applicants should apply through the LPL careers process.
• LPL communicates with applicants only from an @lplfinancial.com email address and does not conduct interviews online or in chatroom forums.