Senior Analyst - Risk Management (Finance Governance)

What if you could build a career where ambition meets innovation? At LPL Financial, we empower professionals to shape their success while helping clients pursue their financial goals with confidence. What if you could have access to cutting-edge resources, a collaborative environment, and the freedom to make an impact? If you're ready to take the next step, discover what’s possible with LPL Financial.

Job Overview:

The Finance Governance team at LPL is seeking Senior Analyst to assist in the ongoing monitoring of operational risk, identification and documentation of key business processes, execution of the controls oversight program, and other special projects related to the growth of the Firm. You will work with stakeholders across Finance and the broader organization to drive effective governance, proactively mitigate risk, advocate for the design of strong controls and the management and mitigation of issues that impact the business.

Responsibilities:

• Lead evaluations and documentation of processes for key financial workstreams, including identification of risks and controls applicable to various control frameworks (SOX, 17a-5, etc.)
• Investigate, analyze and determine resolution for risk and control related matters impacting Finance, including remediation of issues and control deficiencies
• Execute risk-based reviews and control testing programs including financial, compliance and regulatory components and develop recommendations for improvements
• Assist in the execution of risk and control change management projects for key process/system initiatives to ensure effective governance and controls during the initiative and at “go live”
• Report on the status of various initiatives to various levels of leadership within Finance Risk Governance & Controls and other Finance departments
• Drive compliance with risk program requirements in Finance, including business continuity planning, policy and procedure maintenance, records management and vendor oversight
• As needed, support Finance teams with Controls Report Testing Program (CRTP) and Internal Audit reviews, including walkthrough preparation and support, SOC report reviews, and issue management.
• As needed, assist with the Finance Business Continuity program, including annual continuity plan refreshes and testing.
• Audit and regulatory exam coordination and support

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:

• Experience documenting and evaluating processes and related risks, especially those relating to financial data flow and reporting.
• Experience designing and evaluating internal controls and driving strong operational risk management
• Experience designing and executing risk assessments and process improvement projects
• 3+ years relevant experience in public accounting, risk & controls management programs, or process improvement & documentation functions.

Core Competencies:

• Strong communication & presentation skills
• Strong interpersonal, relationship-building skills and effective communication skills with the ability to interact effectively with senior management levels.
• Problem-solving and analytical skills with a proactive approach towards assigned projects or tasks.

Preferences:

• Bachelor’s degree in Finance, Accounting or Business Management
• Financial services and/or broker-dealer experience preferable
• Familiarity with Accounting and/or FP&A business processes, including budgeting, forecasting, and general ledger management.
• Six Sigma Certification (Green/Black Belt)
• Candidates with relevant professional certifications (such as CIA, CISA, or CPA) are preferred.

 

Pay Range:

$78,525-$130,875/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?

• Innovative Environment: We foster creativity and growth, providing a supportive and responsive leadership team. Learn more about our leadership team here!

• Limitless Career Potential: Your career at LPL has no limits, only amazing potential. Learn more about our careers here!

• 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!

• Impactful Work: Our size is just right for you to make a real impact. Learn more here!

• Commitment to Equality: We support workplace equality and embrace diverse perspectives and backgrounds. Learn more here!

• Community Focus: We care for our communities and encourage our employees to do the same. Learn more here!

• 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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