Senior Analyst - Risk Management (Finance Governance)

LPL Financial•Fort Mill, SC

1d•$80,855 - $134,827

About The Position

The Finance Governance team at LPL is seeking a 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.

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 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

Nice To Haves

Bachelor’s 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

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