LPL Financial · 9 hours ago
Sr. Analyst, Operations Risk & Controls
Tempe, AZ
Full-time
Onsite
Mid, Senior Level
$75K/yr - $126K/yr
3+ years expLPL Financial is among the fastest growing wealth management firms in the U.S., and they are seeking a Sr. Analyst, Operations Risk & Controls to support First Line Operations Risk & Controls. This role focuses on Access Management and Data Risk & Reporting, leading complex initiatives and influencing strategic planning across Operations, Service, and Trading.
FinanceFinancial Services
Responsibilities
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
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
Support operational resiliency risk initiatives, metrics, and reporting across Operations
Contribute to resiliency‑related data analysis, emerging risk identification, and control enhancement efforts
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
Qualification
Required
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
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
Preferred
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
Benefits
401K matching
Health benefits
Employee stock options
Paid time off
Volunteer time off
And more
Company
LPL Financial
LPL Financial provides investment solutions and tools for independent financial advisors.
5001-10000 employees
H1B Sponsorship
LPL Financial has a track record of offering H1B sponsorships. Please note that this does not
guarantee sponsorship for this specific role. Below presents additional info for your
reference. (Data Powered by US Department of Labor)
Distribution of Different Job Fields Receiving Sponsorship
Represents job field similar to this job
Trends of Total Sponsorships
2025 (106)
2024 (105)
2023 (122)
2022 (127)
2021 (65)
2020 (44)
Funding
Current Stage
Public CompanyTotal Funding
$2.5B2025-03-31Post Ipo Equity· $1.5B
2024-06-03Post Ipo Debt· $1B
2010-11-18IPO
Leadership Team
Rich Steinmeier
Interim CEO
Sid Vyas
Chief Technology Officer/EVP
Recent News
2026-01-23
2026-01-23
Company data provided by crunchbase