Senior Analyst - Risk Management; Finance Governance

Job Overview

The Finance Governance team at LPL is seeking a Senior Analyst to assist in ongoing monitoring of operational risk, documentation of key business processes, execution of the controls oversight program, and other 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 manage and mitigate issues that impact the business.

• Lead evaluations and documentation of processes for key financial work streams, 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 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
• 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 (as needed)
• Coordination and support of audit and regulatory exams (as needed)

• 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
• Experience designing, evaluating, and testing internal controls within established control frameworks (e.g., SOX, SEC Rule 17a‑5)
• 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 cross‑functional stakeholders, including interaction with management‑level audiences

• Bachelor’s degree in Finance, Accounting, Business Management, or 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

$80,855.00 – $

Competitive total rewards package, including 401 K matching, health benefits, employee stock options, paid time off, volunteer time off, and more.

LPL Financial Holdings Inc. is an Equal Opportunity Employer. Principals only. EOE.