Sr. Analyst Operations - Risk and 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

Where Ambition Meets Innovation Build a career that matches all your initiative with an impressive dose of innovation. From cutting-edge resources and a collaborative environment to the freedom to make an impact and more, you’ll find the ingredients you need at LPL Financial to shape your success while helping clients pursue their financial goals

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.

• 401K matching
• health benefits
• employee stock options
• paid time off
• volunteer time off

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 the LPL team and help us make a difference by turning life’s aspirations into financial realities.

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 [phone].

EAC 5.19.26 LPL Financial is the nation’s largest independent broker-dealer. Our company is widely known for its financial strength, exceptional service, and favorable industry reputation among financial professionals. To understand who we are, it’s important to know our core belief: financial guidance is a fundamental need for everyone. LPL Financial creates the space to let you do what you do best – create personal, long-term client relationships that turn financial aspirations into realities. Each year, thousands of financial professionals successfully manage billions of dollars in assets. Because our company is not too big and not too small, you can seize the opportunity to make a real impact. To learn more about our organization visit our About LPL page.

Want to learn more about the benefits of working at LPL? Check out the links below! We Are LPL Benefits Culture Social Responsibility