Sr. Analyst Operations - Risk and Controls

LPL Financial Holdings, Inc. • $61K — $103K *
Tempe, AZ 85281In-Person
Finance & Insurance
Less than 5 years of experience
Job Overview by Ladders

Qualifications

  • 3+ years of experience in financial services
  • Proficient in Microsoft Word, PowerPoint, and Excel
  • 1+ year of audit/testing/controls experience preferred
  • Understanding of cash management risk and control frameworks
  • Bachelor's degree or 3+ years of relevant industry experience

Responsibilities

  • Communicate project expectations and progress updates to stakeholders
  • Coordinate documentation and support during audits and regulatory reviews
  • Assist in risk assessments and implementing remediation steps
  • Leverage data analysis to improve controls and frameworks
  • Design and implement new controls to monitor workflows effectively

Benefits

  • 401K matching
  • Health benefits
  • Employee stock options
  • Paid time off
  • Volunteer time off
Full Job Description
The Sr Analyst, Operations - Risk & Controls will partner closely with Frontline Risk Management, Compliance, Audit and Cash Management leadership to support risk management and compliance initiatives This role is responsible for identifying opportunities to enhance controls, supporting internal and external audit activities, coordinating remediation reporting and analysis, and driving improvements to strengthen the overall control environment within Cash Management Operations. The ideal candidate is highly organized, analytical, and proactive, with the confidence to collaborate effectively across cross-functional teams and senior leadership. This position requires strong communication skills, a solid understanding of cash management risk and control frameworks, keen attention to detail, and the ability to excel in a fast-paced, dynamic 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 opportunities within controls, 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. Requirements • 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 • Ability to influence business partners to implement process improvements, risk mitigation strategies, and control enhancements. Preferences • 1+ years of audit/testing/controls experience, preferably in an financial services operations setting • Understanding of cash management risk and control frameworks • Experience with Lucid, Jira, Tableau, SmartSheets, BETA, SQL, BOX is preferred • Bachelor's degree or 3+ years relevant industry experience Pay Range: $61,903.00 - $103,103.00 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!

About LPL Financial Holdings, Inc.

LPL Financial Holdings, Inc. Careers

Joining LPL Financial Holdings, Inc. presents an unparalleled opportunity to become part of a leading team of professionals in the financial services industry. The company is renowned for its commitment to innovation, leadership, and professional growth, making it an ideal workplace for ambitious individuals looking to advance their careers.

Explore Job Opportunities

LPL Financial Holdings, Inc. offers a variety of job opportunities that cater to a range of skills and interests. From entry-level positions to senior leadership roles, each job opening provides a platform for personal and professional development. Candidates can expect a rigorous interview process that ensures each team member is not only a fit for the position but also aligns with the company's culture of excellence and integrity.

Internship Programs

For those starting their career journey, LPL Financial Holdings, Inc. provides robust internship programs designed to offer real-world experience in the financial sector. Internships are a cornerstone of the company's commitment to nurturing young talent, providing a foundation of knowledge and skills that are crucial for future employment in the industry.

Commitment to Diversity and Inclusion

Diversity and inclusion are at the heart of LPL Financial Holdings, Inc. The company believes in empowering all employees through diversity training and leadership opportunities that promote an inclusive workplace. This approach not only enhances team collaboration but also drives innovation and creativity.

Benefits and Culture

LPL Financial Holdings, Inc. is dedicated to supporting its employees with comprehensive benefits designed to promote a healthy work-life balance. Benefits include competitive health care options, retirement plans, and wellness programs. The company culture is built on a foundation of mutual respect and teamwork, encouraging networking and professional development across all levels of the organization.

Professional Growth and Development

Employees at LPL Financial Holdings, Inc. are encouraged to continuously enhance their professional skills and advance their careers within the company. Leadership development programs and continuous learning opportunities are readily available, allowing individuals to achieve their career goals and contribute effectively to their teams.

Join the LPL Financial Holdings, Inc. Team

LPL Financial Holdings, Inc. is actively hiring and looking for passionate, creative, and solution-driven team players. Explore open positions that match your skills and interests on the LPL Financial Holdings, Inc. careers page. Each position offers a chance to be part of a dynamic team that is instrumental in shaping the future of financial services.

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