Sr Analyst, Ops Risk & Controls

What if you could build a career where ambition meets innovation? At LPL Financial, we empower professionals to shape their success while helping clients pursue their financial goals with confidence. What if you could have access to cutting-edge resources, a collaborative environment, and the freedom to make an impact? If you're ready to take the next step, discover what’s possible with LPL Financial.

The Senior Analyst, Operations – Risk & Controls will partner closely with the VP New Accounts & Account Maintenance Operations to drive continuous improvement across operational processes. This role is responsible for identifying control enhancement opportunities, supporting internal and external audit engagements, coordinating reporting and analysis, and conducting investigative assessments to optimize efficiency across New Accounts workflows.

The ideal candidate is organized, analytical, proactive, and confident working with cross-functional teams and senior leadership. This role requires strong communication skills, attention to detail, and the ability to thrive in a fast-paced 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 improvement opportunities, 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.
• Investigate and troubleshoot system-related issues within New Accounts, partnering with business and technology teams; communicate issues and resolutions to appropriate stakeholders.

Requirements

• 3+ years of project and/or audit experience, preferably in an operational setting
• 3+ years of experience in financial services
• 3+ 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

Preferences

• Experience with Lucid, Jira, Tableau, SmartSheets, BETA, SQL, BOX is preferred
• Lean Management Systems or process improvement experience is preferred
• Bachelor’s degree or 5+ years relevant industry experience

 

Pay Range:

$60,075-$100,125/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) 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 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?

• Innovative Environment: We foster creativity and growth, providing a supportive and responsive leadership team. Learn more about our leadership team here!

• Limitless Career Potential: Your career at LPL has no limits, only amazing potential. Learn more about our careers here!

• 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!

• Impactful Work: Our size is just right for you to make a real impact. Learn more here!

• Commitment to Equality: We support workplace equality and embrace diverse perspectives and backgrounds. Learn more here!

• Community Focus: We care for our communities and encourage our employees to do the same. Learn more here!

• 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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