Senior Analyst, Operations Risk & Controls

LPL Financial LLC; Tempe (AZ); On-site; USD 62,000 - 103,000; Full time

Benefits offered by this job

401K matching

health benefits

employee stock options

paid time off

volunteer time off

Job summary

LPL Financial LLC in Tempe, AZ, seeks a Sr Analyst, Operations – Risk & Controls to partner with Frontline Risk Management, Compliance, Audit and Cash Management leadership to strengthen the control environment.

You will identify opportunities to enhance controls, support audits, coordinate remediation reporting, and drive improvements across Cash Management Operations. Strong communication, analytical skills, and ability to manage multiple priorities are essential.

Qualifications

• 3+ years of experience in financial services.
• Proficiency in Microsoft Word, PowerPoint, and Excel.
• Excellent interpersonal and written communication skills; ability to interact with leadership.

Responsibilities

• Communicate project expectations, progress updates, and issue escalations to stakeholders.
• 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 support management.
• Design and implement new controls and reporting mechanisms to monitor workflows and test control effectiveness.

Skills

Risk management

Audit coordination

Data analysis

Communication

Cross-functional collaboration

Attention to detail

Problem-solving

Education

Bachelor's degree

Tools

Microsoft Excel

Microsoft Word

PowerPoint

Job description

LPL Financial LLC in Tempe, AZ, seeks a Sr Analyst, Operations – Risk & Controls to partner with Frontline Risk Management, Compliance, Audit and Cash Management leadership to strengthen the control environment.

You will identify opportunities to enhance controls, support audits, coordinate remediation reporting, and drive improvements across Cash Management Operations. Strong communication, analytical skills, and ability to manage multiple priorities are essential.