Sr. Analyst, Operations Risk & Controls

LPL Financial•Tempe, AZ

About The Position

Job Overview: The Sr. Analyst, Operations Risk & Controls is a senior individual contributor role supporting First Line Operations Risk & Controls, with a primary focus on Access Management and Data Risk & Reporting and supporting coverage for Operational Resiliency. This role serves as a subject matter expert and thought leader within First Line Risk Management, independently leading complex, cross‑functional initiatives of strategic importance. The analyst works with abstract information, introduces novel risk concepts and solutions, and provides input to senior leadership to influence strategic planning, risk posture, and decision‑making across Operations, Service, and Trading. Responsibilities: Access Management Serve as the Product Access and Governance Subject Matter Expert for the Beta platform (Beta TPX and Thomson One), owning roles and access entitlements in partnership with Technology IAM and business stakeholders Govern identity and access management processes for Beta, including role design, provisioning, recertification, segregation of duties, exception handling, and control quality assurance Partner closely with InfoSec IAM Operations, first‑ and second‑line risk partners, and Operations leadership to strengthen access control governance and risk mitigation Introduce and implement enhancements to access governance frameworks, controls, and monitoring practices to address emerging risks and regulatory expectations Data Risk & Reporting Act as a First Line thought leader for the identification and management of data risk, including EUCs, data lineage, data integrity, single source of truth, and process gaps Partner with Operations, Service, and Trading to design and implement bottom‑up KRIs and OKRs, including risk thresholds and forward‑looking indicators Perform data sourcing, documentation, lineage mapping, and analytical reviews to support accurate, reliable risk reporting Represent Operations Risk & Controls within the Data Center of Excellence, collaborating with Operations Data Management and Second Line Data Governance teams Operational Resiliency Support operational resiliency risk initiatives, metrics, and reporting across Operations Contribute to resiliency‑related data analysis, emerging risk identification, and control enhancement efforts Cross‑Functional Leadership & Strategic Impact Independently lead large, complex, cross‑functional initiatives with enterprise or department‑wide impact Anticipate emerging trends and risks within data, access management, and operational domains, proposing adaptive strategies and contingency plans What are we looking for? The ideal candidate will have a client-first customer service oriented mind-set from a financial background, with strong attention to detail, problem-solving skills , and excellent verbal and written abilities . Candidate will be able to contribute positively to a team-focused environment , driving both growth and innovation .

Requirements

3-7 years of relevant experience within financial services, with strong exposure to first line of defense risk management and/or broker‑dealer environments
Deep expertise in access management, identity governance, data risk, and operational controls within large, complex organizations
Strong analytical skillset with hands‑on experience using Tableau, Power BI, SQL, and data analysis tools (Alteryx preferred)
Demonstrated ability to work independently with minimal supervision and make significant decisions with functional or departmental impact
Excellent written and verbal communication skills with the ability to translate complex risk concepts into actionable insights for leadership

Nice To Haves

Prior broker‑dealer experience and familiarity with regulatory expectations in first line risk management
Experience supporting or governing Beta TPX and Thomson One access and reporting
Experience with data modeling, statistical analysis, automation, machine learning, or AI‑enabled analytics
Lean Six Sigma certification or formal process improvement experience

Responsibilities

Serve as the Product Access and Governance Subject Matter Expert for the Beta platform (Beta TPX and Thomson One), owning roles and access entitlements in partnership with Technology IAM and business stakeholders
Govern identity and access management processes for Beta, including role design, provisioning, recertification, segregation of duties, exception handling, and control quality assurance
Partner closely with InfoSec IAM Operations, first‑ and second‑line risk partners, and Operations leadership to strengthen access control governance and risk mitigation
Introduce and implement enhancements to access governance frameworks, controls, and monitoring practices to address emerging risks and regulatory expectations
Act as a First Line thought leader for the identification and management of data risk, including EUCs, data lineage, data integrity, single source of truth, and process gaps
Partner with Operations, Service, and Trading to design and implement bottom‑up KRIs and OKRs, including risk thresholds and forward‑looking indicators
Perform data sourcing, documentation, lineage mapping, and analytical reviews to support accurate, reliable risk reporting
Represent Operations Risk & Controls within the Data Center of Excellence, collaborating with Operations Data Management and Second Line Data Governance teams
Support operational resiliency risk initiatives, metrics, and reporting across Operations
Contribute to resiliency‑related data analysis, emerging risk identification, and control enhancement efforts
Independently lead large, complex, cross‑functional initiatives with enterprise or department‑wide impact
Anticipate emerging trends and risks within data, access management, and operational domains, proposing adaptive strategies and contingency plans