Sr Analyst, Risk Management

Job Overview:

The Finance organization at LPL is seeking Senior Analyst to join the Finance Risk & Controls team to assist in the ongoing monitoring of operational risk, 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:

Partner with Internal Audit to execute the SOX and 17a-5 compliance program, including risk assessment, scoping, walkthroughs, testing, certifications, and issue evaluation and remediation

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 but not business continuity planning, policy and procedure maintenance, records management and vendor oversight

Audit and regulatory exam coordination and support

What are we looking for?

We want strong collaborators who can deliver a world-class client experience. We are looking for people who thrive in a fast-paced environment, are client-focused, team oriented, and are able to execute in a way that encourages creativity and continuous improvement.

Requirements:

Experience with designing and evaluating internal controls and driving strong operational risk management

Experience designing and executing risk assessments and process improvement projects

4+ years relevant experience in public accounting or a combination of public and internal audit experience

Advanced knowledge of audit and accounting methodologies and principles, data, application, IT general and end user computing controls - especially related to Sarbanes-Oxley requirements

Strong communication & presentation skills

Relationship building skills and the ability to build rapport with various Business Unit leaders

Strong analytical and problem solving experience and is a quick learner

Preferences:

Certified Public Accountant (CPA) or Certified Internal Auditor (CIA), Certified Information Systems Auditor (CISA)

Bachelor’s degree in Finance, Accounting or Business Management

2 years+ in financial services with broker-dealer experience preferable

Pay Range: $79,680-$119,520/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!

Why LPL?

At LPL, we believe that objective financial guidance is a fundamental need for everyone. As the nation’s leading independent broker-dealer, we offer an integrated platform of proprietary technology, brokerage, and investment advisor services. We provide you with a work environment that encourages your creativity and growth, a leadership team that is supportive and responsive, and the opportunity to create a career that has no limits, only amazing potential.

We are one team on one mission. We take care of our advisors, so they can take care of their clients.

Because our company is not too big and not too small, you can seize the opportunity to make a real impact. We are committed to supporting workplace equality, and we embrace the different perspectives and backgrounds of our employees. We also care for our communities, and we encourage our employees to do the same. This creates an environment in which you can do your best work.

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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 .

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