Sr Analyst, Ops Risk & Controls

LPL Financial•Fort Mill, SC

About The Position

The Senior Analyst, Operations – Risk & Controls will partner closely with the VP New Accounts & Account Maintenance Operations to drive continuous improvement across operational processes. This role is responsible for identifying control enhancement opportunities, supporting internal and external audit engagements, coordinating reporting and analysis, and conducting investigative assessments to optimize efficiency across New Accounts workflows. The ideal candidate is organized, analytical, proactive, and confident working with cross-functional teams and senior leadership. This role requires strong communication skills, attention to detail, and the ability to thrive in a fast-paced environment.

Requirements

3+ years of project and/or audit experience, preferably in an operational setting
3+ years of experience in financial services
3+ Proficiency in Microsoft Word, PowerPoint, and Excel
Excellent interpersonal and written communication skills; comfortable interacting with leadership
Ability to manage multiple assignments in a fast-paced environment and meet deadlines
Highly analytical with exceptional attention to detail and a proactive approach to problem-solving
Adaptable, motivated, and comfortable with shifting priorities
Self-starter who works independently with minimal day-to-day oversight

Nice To Haves

Experience with Lucid, Jira, Tableau, SmartSheets, BETA, SQL, BOX is preferred
Lean Management Systems or process improvement experience is preferred
Bachelor’s degree or 5+ years relevant industry experience

Responsibilities

Communicate project expectations, progress updates, and issue escalations to key stakeholders clearly and consistently.
Coordinate documentation gathering and provide support during regulatory reviews and audit engagements.
Assist in risk assessments, issue identification, and remediation steps.
Leverage data analysis to identify improvement opportunities, create frameworks, and provide structured support to management and peers.
Design and implement new controls and reporting mechanisms to monitor workflows and quickly detect issues; develop and execute testing to verify control effectiveness.
Investigate and troubleshoot system-related issues within New Accounts, partnering with business and technology teams; communicate issues and resolutions to appropriate stakeholders.