Analyst, Supervisory Risk & Controls

Job Overview

The Controls Analyst will work within the Controls Risk Management team which is part of the First Line Risk Management, Supervisory Risk and Controls, to identify opportunities to implement, test, improve, and sustain risk controls throughout Operations, Service and Trading.

The Analyst primary focus will be to execute testing programs against business processes and controls within the organization, ensuring compliance with regulatory requirements and identifying areas for improvement, collaborate with business owners to remediate control deficiencies and maintain a strong control environment.

Responsibilities

• Identify key business processes and associated risks to determine the scope of self-testing activities.
• Develop detailed testing plans and procedures based on risk assessments and control frameworks (e.g., COSO).
• Collaborate with business owners to understand their control activities and documentation.

• Conduct self-testing procedures, including data analysis, document review, and interviews to gather evidence of control effectiveness.
• Document testing results, including observations, exceptions, and supporting evidence in a clear and concise manner.
• Perform follow-up testing to verify corrective actions taken on identified control deficiencies.

• Analyze testing results and identify control gaps or deficiencies.
• Facilitate the development of remediation plans and track progress to ensure timely resolution of control issues.
• Ensure ongoing analysis of risks, vulnerabilities, and regulatory standards and use that data to improve the firm's risk posture.
• Assist in the identification of SOX, SSAE18, FICCA, and 17a-5 related issues, and remediation processes including documentation of deficiencies.

Qualifications:

• 3+ years of related professional experience, (preferably financial services) in several disciplines (internal audit, compliance, risk management, or management of other internal controls)
• Proficiency in all Microsoft applications, particularly Word, PowerPoint, OneNote and Excel
• Jira and Smartsheet experience
• Excellent interpersonal and written communication skills
• Ability to multitask in a fast-paced environment; work independently
• Adaptability to changing unexpected circumstances and the flexibility to navigate and realign tasks quickly

Preferred:

• Bachelor’s degree in Accounting, Finance, or related field (preferred)
• Internal or External Audit experience strongly preferred.
• Knowledge of control environment for SOX, SSAE18, FICCA. and 17a-5 preferred
• Advanced Excel and other data analytical skills strongly preferred

Skills Required:

• Personable and reliable self-starter who requires minimal management oversight for day-to-day work responsibilities
• Strong attention to detail with a pro-active approach to risk mitigation
• Ability to work under pressure/deadlines and manage multiple priorities
• Ability to interface effectively with various levels of employees from associates to senior level management
• Strong time management and organizational skills
• Ability to work in a team setting and independently

Pay Range:

$25.64-$42.73/hour
 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?

• 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.

EAC1.22.25