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.
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?
We’re looking for strong collaborators who deliver exceptional client experiences and thrive in fast-paced, team-oriented environments. Our ideal candidates pursue greatness, act with integrity, and are driven to help our clients succeed. We value those who embrace creativity, continuous improvement, and contribute to a culture where we win together and create and share joy in our work.
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
#LI-PA
Pay Range:
$80,855.00 - $134,827.00Actual base salary varies based on factors, including but not limited to, relevant skill, prior experience, education, base salary of internal peers, demonstrated performance, and geographic location. Additionally, LPL Total Rewards package is highly competitive, designed to support your success at work, at home, and at play – such as 401K matching, health benefits, employee stock options, paid time off, volunteer time off, and more. Your recruiter will be happy to discuss all that LPL has to offer!
Company 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
Skills Required
- 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
LPL Financial Compensation & Benefits Highlights
The following summarizes recurring compensation and benefits themes identified from responses generated by popular LLMs to common candidate questions about LPL Financial and has not been reviewed or approved by LPL Financial.
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Retirement Support — Retirement programs include a company 401(k) match that is frequently highlighted as a strong component of total rewards. Feedback suggests these features meaningfully enhance long‑term financial value.
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Equity Value & Accessibility — An employee stock purchase plan with a meaningful discount and lookback is highlighted as accessible ownership. Feedback suggests the plan adds tangible upside beyond base salary.
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Parental & Family Support — Paid parental leave has been expanded alongside family‑building and adoption support. Feedback suggests these benefits compare well to large‑employer standards.
LPL Financial Insights
What We Do
Financial advice is changing, and at LPL Financial, we’re at the forefront. We’re building a future where advisors can—with no friction or complexity, as simple as turning the dials—pick the business model, services, technology, and product mix that best meet their clients’ needs. With one platform, one sign-on, and one team to call, you can take your business anywhere you want it to go. There are no limits to your growth, and we’ll partner with you every step of the way. Your greatness is our goal. LPL Financial is a leader in the retail financial advice market and the nation’s largest independent broker/dealer*. We serve independent financial advisors and financial institutions, providing them with the technology, research, clearing and compliance services, and practice management programs they need to create and grow thriving practices. LPL enables them to provide objective guidance to millions of American families seeking wealth management, retirement planning, financial planning and asset management solutions. LPL.com Securities and Advisory Services offered through LPL Financial. A registered investment advisor, Member FINRA/SIPC.
