Senior Analyst - Risk Management (Finance Governance)

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
• What are we looking for?

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
• Preferences:
• 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
• Pay Range:
• $80,855.00 - $134,827.00
• Company Overview:
• 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

Additional Information

Where Ambition Meets Innovation Build a career that matches all your initiative with an impressive dose of innovation. From cutting-edge resources and a collaborative environment to the freedom to make an impact and more, you'll find the ingredients you need at LPL Financial to shape your success while helping clients pursue their financial goals. Job Overview: The Finance Governance team at LPL is seeking 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.

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