LPL Financial
Sr Analyst, Ops Risk & Controls
LPL Financial, Fort Mill, South Carolina, United States, 29715
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.
Senior Analyst, Operations – Risk & Controls 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.
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.
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.
Lean Management Systems or process improvement experience.
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.
Benefits and Total Rewards Designed to support your success at work, at home, and at play – such as 401(k) matching, health benefits, employee stock options, paid time off, volunteer time off, and more.
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, 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.
Why LPL?
Innovative Environment: We foster creativity and growth, providing a supportive and responsive leadership team.
Limitless Career Potential: Your career at LPL has no limits, only amazing potential.
Unified Mission: We are one team on one mission—taking care of our advisors so they can take care of their clients.
Impactful Work: Our size is just right for you to make a real impact.
Commitment to Equality: We support workplace equality and embrace diverse perspectives and backgrounds.
Community Focus: We care for our communities and encourage our employees to do the same.
Benefits and Total Rewards: Our Total Rewards package goes beyond just compensation and insurance.
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.
EAC12.9.25 Principals only. EOE.
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Senior Analyst, Operations – Risk & Controls 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.
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.
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.
Lean Management Systems or process improvement experience.
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.
Benefits and Total Rewards Designed to support your success at work, at home, and at play – such as 401(k) matching, health benefits, employee stock options, paid time off, volunteer time off, and more.
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, 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.
Why LPL?
Innovative Environment: We foster creativity and growth, providing a supportive and responsive leadership team.
Limitless Career Potential: Your career at LPL has no limits, only amazing potential.
Unified Mission: We are one team on one mission—taking care of our advisors so they can take care of their clients.
Impactful Work: Our size is just right for you to make a real impact.
Commitment to Equality: We support workplace equality and embrace diverse perspectives and backgrounds.
Community Focus: We care for our communities and encourage our employees to do the same.
Benefits and Total Rewards: Our Total Rewards package goes beyond just compensation and insurance.
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.
EAC12.9.25 Principals only. EOE.
#J-18808-Ljbffr