Finance Jobs at LPL Financial with Visa Sponsorship

Lead with Purpose, Unlock Your Team’s Passion

At LPL, people leaders hold the key to the employee experience — shaping culture, driving performance, and guiding individuals to new heights. Because when that happens, we all win – clients, LPL, and most importantly our employees.

If you're ready to lead with intention and discover what’s possible, LPL Financial invites you to apply today.

Job Overview:

As a manager on the Finance Governance team, you’ll serve as a trusted partner and strategist in interactions with Finance management. The team is responsible for 1st line process, risk and control oversight and documentation for Finance functions, administration of SOX and ICFR reporting, business continuity planning for Finance, process improvement coordination, data reporting for advisor credit portfolios, and coordination with external auditors. The ideal candidate possesses experience with operational accounting, process improvement, external audits, and sound understanding of Internal Controls over Financial Reporting (ICFR) risks and reporting. The role is a perfect opportunity for a change agent who thrives in partnering with cross-functional teams and establishing best in class processes in a dynamic environment.

Responsibilities:

• Partner with Finance leadership and cross-functional teams to strengthen governance, manage enterprise risk, and drive scalable process improvements.
• Serve as the lead risk contact for Finance, evaluating risk and control impacts of strategic initiatives and providing real-time insights and coordination.
• Participate in cross-functional strategy discussions to assess risk and control implications and support planning for future initiatives.
• Oversee the evaluation, documentation, and enhancement of Finance processes, risks, and control standards.
• Define challenges and opportunities in the existing processes, including identification of key stakeholders and workstreams.
• Support implementation of the solutions, monitor and evaluate changes.
• Manage a control environment, ensuring effective design, operation, and continuous improvement.
• Lead Finance-wide Risk and Control Self-Assessment (RCSA) and processes/risk/control (PRC) initiatives, providing oversight of risk and control programs and major process and system implementations.
• Manage coordination with external auditors, acting as the liaison between LPL teams and auditors to ensure efficient audit planning and timely delivery of audit evidence.
• Lead analysis of Accounting & Finance processes and related controls, including walkthroughs, assessing compliance with policies and accounting guidance, and recommending enhancements to strengthen internal controls and operational efficiency.
• Manage and mentor a team of analysts, overseeing risk assessments, control testing, remediation, and audit documentation quality.
• Report on the status of various projects and initiatives to various levels of leadership within Finance.

What are we looking for?

We’re looking for strong collaborators who deliver exceptional client experiences and thrive in fast-paced, team-oriented environments. Our ideal candidates pursue greatness, act with integrity, and are driven to help our clients succeed. We value those who embrace creativity, continuous improvement, and contribute to a culture where we win together and create and share joy in our work.

Requirements

• BS/BA in Accounting or Finance or related field.
• 5+ years relevant experience in public accounting or a combination of public and internal audit experience.
• Experience with public company control frameworks, including control deficiency evaluation and reporting.
• Experience with designing and evaluating internal controls and driving strong operational risk management.
• Experience designing and executing risk assessments and process improvement projects.
• Knowledge of audit and accounting methodologies and principles, data, application, IT general and end-user computing controls.
• Communication and presentation skills.
• Interpersonal, relationship-building skills and effective communication skills with the ability to interact effectively with all levels of management and staff.
• Self-starter with ability to identify, analyze, and solve problems.
• Analytical and problem-solving skills, with the ability to learn quickly.

Preferences:

• Certified Public Accountant (CPA), Certified Internal Auditor (CIA), Certified Information Systems Auditor (CISA), or Certification in Risk Management Assurance (CRMA).
• 2+ years of financial services experience; broker-dealer experience preferred.
• Experience with Governance, Risk and Control (GRC) system.
• Experience process mapping using Visio.
• Experience with data analytics and business intelligence tools (e.g., Tableau, Power BI, Alteryx).

Pay Range:

$85,361-$142,269/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, 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.

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.

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.
• Limitless Career Potential: Your career at LPL has no limits, only amazing potential.
• Unified Mission: We are one team on one mission—taking care of our advisors so they can take care of their clients.
• Impactful Work: Our size is just right for you to make a real impact.
• Commitment to Equality: We support workplace equality and embrace diverse perspectives and backgrounds.
• Community Focus: We care for our communities and encourage our employees to do the same.
• 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.

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.