Sr. Analyst Operations - Risk and Controls
LPL Financial · Tempe, United States +2 · 1d ago
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
The Sr Analyst, Operations – Risk & Controls will partner closely with Frontline Risk Management, Compliance, Audit and Cash Management leadership to support risk management and compliance initiatives This role is responsible for identifying opportunities to enhance controls, supporting internal and external audit activities, coordinating remediation reporting and analysis, and driving improvements to strengthen the overall control environment within Cash Management Operations.
The ideal candidate is highly organized, analytical, and proactive, with the confidence to collaborate effectively across cross-functional teams and senior leadership. This position requires strong communication skills, a solid understanding of cash management risk and control frameworks, keen attention to detail, and the ability to excel in a fast-paced, dynamic environment.
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 opportunities within controls, 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.
Requirements
- 3+ years of experience in financial services
- Proficiency in Microsoft Word, PowerPoint, and Excel
Core Competencies
- 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
- Ability to influence business partners to implement process improvements, risk mitigation strategies, and control enhancements.
Preferences
- 1+ years of audit/testing/controls experience, preferably in an financial services operations setting
- Understanding of cash management risk and control frameworks
- Experience with Lucid, Jira, Tableau, SmartSheets, BETA, SQL, BOX is preferred
- Bachelor’s degree or 3+ years relevant industry experience
Pay Range:
$61,903.00 - $103,103.00Company Overview:
LPL Financial Holdings Inc. (Nasdaq: LPLA) is among the fastest growing wealth management firms in the U.S. As a leader in the financial advisor-mediated marketplace(6) , LPL supports over 32,000 financial advisors and the wealth management practices of approximately 1,100 financial institutions, servicing and custodying approximately $2.3 trillion in brokerage and advisory assets on behalf of approximately 8 million Americans. The firm provides a wide range of advisor affiliation models, investment solutions, fintech tools and practice management services, ensuring that advisors and institutions have the flexibility to choose the business model, services, and technology resources they need to run thriving businesses. For further information about LPL, please visit www.lpl.com.
At LPL, independence means that advisors and institution leaders have the freedom they deserve to choose the business model, services, and technology resources that allow them to run a thriving business. They have the flexibility to do business their way. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors and institutions, so they can take care of their clients.
For further information about LPL, please visit www.lpl.com.
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 @lplfinancial.com 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 (855) 575-6947.
EAC 5.19.26