Senior Analyst - Risk Management (Finance Governance)

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, youll find the ingredients you need at LPL Financial to shape your success while helping clients pursue their financial goals.

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?

Were 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:

• Minimum 3 years of experience in public accounting, risk and controls, finance governance, internal audit, or process documentation roles

• Demonstrated experience documenting and evaluating business processes and associated risks related to financial reporting and data flows

• Demonstrated experience designing, evaluating, and testing internal controls within established control frameworks (e.g., SOX, SEC Rule 17a5)

• Experience executing risk assessments, control testing, and process improvement initiatives

• Ability to analyze risk and control issues, identify root causes, and support remediation efforts

• Proficiency in written and verbal communication, including documentation and presentation of findings

• Experience working with crossfunctional stakeholders, including interaction with management-level audiences

Preferences:

• Bachelors degree in Finance, Accounting, Business Management, or a related field

• Experience in financial services, broker-dealer, or other regulated environments

• Knowledge of accounting processes, including general ledger and financial close activities

• Professional certifications such as CPA or CIA

• Six Sigma Green Belt or Black Belt certification

#LI-PA

Pay Range:

$80,855.00 - $134,827.00
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(6) , 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. For further information about LPL, please visit www.lpl.com.

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.

For further information about LPL, please visit www.lpl.com .

Join the LPL team and help us make a difference by turning lifes 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 applicants bank or credit card. Should you have any questions regarding the application process, please contact LPLs Human Resources Solutions Center at ....

EAC 5.19.26