Job Overview:
The Finance organization at LPL is seeking Senior Analyst to assist with administration of the Sarbanes-Oxley compliance program. The Sarbanes-Oxley (SOX) Administrator is responsible for overseeing and managing the company’s SOX compliance program to ensure adherence to regulatory requirements. This role involves coordinating with internal and external auditors, maintaining compliance documentation, and supporting process improvements related to financial reporting and operational risks.
Responsibilities:
- Administer and maintain the company’s SOX compliance framework, ensuring all documentation, controls, and processes align with regulatory standards.
- Partner with Internal and External Auditors to execute the SOX program, including risk assessment, scoping, walkthroughs, testing, quarterly control verifications, certifications, and issue evaluation and remediation.
- Assist in identifying, documenting, and evaluating internal controls over financial reporting (ICFR).
- Investigate, analyze and determine resolution for risk and control related matters impacting financial reporting, including remediation of issues and control deficiencies.
- Develop and update SOX compliance policies, procedures, and training materials.
- Support process owners in maintaining compliance with SOX requirements, providing guidance on control design and implementation.
- Collaborate with IT and business process owners to ensure SOX compliance for financial systems and applications.
- Stay up to date on SOX regulations, best practices, and industry trends to ensure continuous compliance improvements.
- Generate reports and dashboards to communicate SOX compliance status to management.
Requirements:
- Bachelor’s degree in Accounting, Finance, or Business Management.
- Prior experience working in a publicly traded company or Big Four accounting firm.
- 3+ years of experience in SOX compliance, internal audit, or financial reporting.
- Strong knowledge of the Sarbanes-Oxley Act, internal controls, and COSO framework.
- Experience with SOX compliance tools and financial systems.
- Strong analytical, problem-solving, and organizational skills.
- Excellent communication skills to effectively work with stakeholders at all levels.
- Ability to manage multiple projects and deadlines in a fast-paced environment.
Preferences:
- CPA, CIA, CISA, or other relevant certification is a plus.
- Familiarity with IT general controls (ITGCs) and financial system compliance.
Pay Range:
$78,525-$130,875/year
Actual 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) was founded on the principle that the firm should work for advisors and institutions, and not the other way around. Today, LPL is a leader in the markets we serve, serving more than 23,000 financial advisors, including advisors at approximately 1,000 institutions and at approximately 580 registered investment advisor ("RIA") firms nationwide. We are steadfast in our commitment to the advisor-mediated model and the belief that Americans deserve access to personalized guidance from a financial professional.
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.
Join LPL Financial: Where Your Potential Meets Opportunity
At LPL Financial, we believe that everyone deserves objective financial guidance. As the nation’s leading independent broker-dealer, we offer an integrated platform of cutting-edge technology, brokerage, and investment advisor services.
Why LPL?
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Innovative Environment: We foster creativity and growth, providing a supportive and responsive leadership team. Learn more about our leadership team here!
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Limitless Career Potential: Your career at LPL has no limits, only amazing potential. Learn more about our careers here!
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Unified Mission: We are one team on one mission—taking care of our advisors so they can take care of their clients. Learn more about our mission and values here!
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Impactful Work: Our size is just right for you to make a real impact. Learn more here!
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Commitment to Equality: We support workplace equality and embrace diverse perspectives and backgrounds. Learn more here!
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Community Focus: We care for our communities and encourage our employees to do the same. Learn more here!
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Benefits and Total Rewards: Our Total Rewards package goes beyond just compensation and insurance. It includes a mix of traditional and unique benefits, perks, and resources designed to enhance your life both at work and at home. 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 @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.
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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.
