Sr. Analyst, Operations Risk & Controls

Job Overview:

The Sr. Analyst, Operations Risk & Controls is a senior individual contributor role supporting First Line Operations Risk & Controls, with a primary focus on Access Management and Data Risk & Reporting and supporting coverage for Operational Resiliency.
This role serves as a subject matter expert and thought leader within First Line Risk Management, independently leading complex, cross‑functional initiatives of strategic importance. The analyst works with abstract information, introduces novel risk concepts and solutions, and provides input to senior leadership to influence strategic planning, risk posture, and decision‑making across Operations, Service, and Trading.

Responsibilities:

Access Management

•Serve as the Product Access and Governance Subject Matter Expert for the Beta platform (Beta TPX and Thomson One), owning roles and access entitlements in partnership with Technology IAM and business stakeholders

• Govern identity and access management processes for Beta, including role design, provisioning, recertification, segregation of duties, exception handling, and control quality assurance
• Partner closely with InfoSec IAM Operations, first‑ and second‑line risk partners, and Operations leadership to strengthen access control governance and risk mitigation
• Introduce and implement enhancements to access governance frameworks, controls, and monitoring practices to address emerging risks and regulatory expectations

Data Risk & Reporting

• Act as a First Line thought leader for the identification and management of data risk, including EUCs, data lineage, data integrity, single source of truth, and process gaps
• Partner with Operations, Service, and Trading to design and implement bottom‑up KRIs and OKRs, including risk thresholds and forward‑looking indicators
• Perform data sourcing, documentation, lineage mapping, and analytical reviews to support accurate, reliable risk reporting
• Represent Operations Risk & Controls within the Data Center of Excellence, collaborating with Operations Data Management and Second Line Data Governance teams

Operational Resiliency

• Support operational resiliency risk initiatives, metrics, and reporting across Operations
• Contribute to resiliency‑related data analysis, emerging risk identification, and control enhancement efforts

Cross‑Functional Leadership & Strategic Impact

• Independently lead large, complex, cross‑functional initiatives with enterprise or department‑wide impact
• Anticipate emerging trends and risks within data, access management, and operational domains, proposing adaptive strategies and contingency plans
 

What are we looking for?

The ideal candidate will have a client-first customer service oriented mind-set from a financial background, with strong attention to detail, problem-solving skills, and excellent verbal and written abilities. Candidate will be able to contribute positively to a team-focused environment, driving both growth and innovation.

Requirements:

• 3-7 years of relevant experience within financial services, with strong exposure to first line of defense risk management and/or broker‑dealer environments
• Deep expertise in access management, identity governance, data risk, and operational controls within large, complex organizations
• Strong analytical skillset with hands‑on experience using Tableau, Power BI, SQL, and data analysis tools (Alteryx preferred)
• Demonstrated ability to work independently with minimal supervision and make significant decisions with functional or departmental impact
• Excellent written and verbal communication skills with the ability to translate complex risk concepts into actionable insights for leadership

Core Competencies:

• Strategic thinking and independent decision‑making
• Advanced problem‑solving and root cause analysis
• Risk identification, assessment, and mitigation
• Cross‑functional collaboration and influence
• Attention to detail with a continuous improvement mindset

Preferences:

• Prior broker‑dealer experience and familiarity with regulatory expectations in first line risk management
• Experience supporting or governing Beta TPX and Thomson One access and reporting
• Experience with data modeling, statistical analysis, automation, machine learning, or AI‑enabled analytics
• Lean Six Sigma certification or formal process improvement experience

#LPL-PA

 

Pay Range:

$75,396-$125,660/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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