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Senior Analyst, Finance Risk, Governance & Controls

Job ID: R-018496 Date posted: 11/05/2021 Primary Location SC-Fort Mill Other Locations CA-San Diego

Are you a solution-oriented and passionate professional focused on adding value, improving processes/controls/systems, and championing risk management?

Are you interested in being part of a team that is working to transform and do things differently?

If so, then this could be the role for you! 

LPL Financial (Nasdaq: LPLA) was founded on the principle that the firm should work for the advisor, and not the other way around. Today, LPL is a leader* in the markets we serve, supporting more than 19,000 financial advisors, 800 institution-based investment programs and 450 independent RIA firms nationwide. We are steadfast in our commitment to the advisor-centered model and the belief that Americans deserve access to objective guidance from a financial advisor. At LPL, independence means that advisors have the freedom they deserve to choose the business model, services, and technology resources that allow them to run their perfect practice. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors, so they can take care of their clients.

Job Overview:

The Finance organization at LPL is seeking Senior Analyst to join the Finance Risk Governance & Controls team to assist in the establishment and execution of an operational risk management, governance and controls oversight program. 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.


  • Assist in the execution of the Finance-wide risk and controls self-assessment program
  • 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”
  • Partner with the Risk organization to mature the risk governance framework across LPL
  • 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.


  • 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
  • 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


  • Certified Public Accountant (CPA) or Certified Internal Auditor (CIA), Certified Information Systems Auditor (CISA)
  • Bachelor’s degree in Finance, Accounting or Business Management
  • Experience with Governance, Risk and Control (GRC) system
  • Experience process mapping using Visio
  • 2 years+ in financial services with broker-dealer experience preferable

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.

Want to hear from our employees on what it’s like to work at LPL?  Watch this!

We take social responsibility seriously. Learn more here

Want to see info on our benefits?  Learn more here

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 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 (800) 877-7210.

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