VP – Finance Governance bei LPL Financial

What if you could build a career where ambition meets innovation? At LPL Financial, we empower professionals to shape their success while helping clients pursue their financial goals with confidence. What if you could have access to cutting-edge resources, a collaborative environment, and the freedom to make an impact? If you're ready to take the next step, discover what’s possible with LPL Financial.

Job Overview:

We are seeking an experienced finance leader to lead the LPL Finance Governance team and serve as a trusted partner and strategist in interactions with senior 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 deep experience with operational accounting processes, process improvement, external audit experience, and sound understanding of Internal Controls over Financial Reporting (ICFR) risks and reporting. The candidate should have experience in managing teams and projects, and the ability to strategically interact with senior management levels. 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:

• Provide strategic direction and leadership for the Finance Governance team
• Monitor and improve team plan for evaluation, documentation and enhancement of Finance process/risk/control standards
• Serve as lead risk contact for Finance: Discuss and evaluate risk & control impacts of strategic initiatives with senior management, providing real time insights and coordination
• Lead and manage coordination with external auditor: Serve as liaison between LPL teams and auditors to ensure proper coordination of audit efforts and on-time delivery of PBCs.
• Participate in cross-functional strategy coordination (e.g., system implementations) to determine potential risk/control impacts, as well as strategic planning for future initiatives.
• Lead the analysis of Accounting & Finance processes and related controls: performing walkthroughs with process owners; assessing compliance with accounting guidance and internal policies; identifying and recommending enhancement to strengthen internal controls and operational efficiencies
• Track metrics and provide reporting to project working groups, steering committees, senior management, internal audit, and external auditors
• Work collaboratively within Finance, as well as partnering with the business on strategic and growth initiatives

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:

• BA/BS in Accounting or Finance or related field
• 8+ years of relevant accounting, audit and controls experience; including experience at a Big 4 accounting firm (manager level)
• Experience with public company SOX controls frameworks – including control deficiency evaluation and reporting
• Experience leading a team engaged in multiple workstreams
• CPA license required

Core Competencies

• Demonstrated ability to build productive relationships with all levels of management
• Transformational mindset and demonstrated ability to lead and drive change; specifically, experience driving automation, assessing tools and technology a plus
• Strong understanding of US GAAP, SOX Compliance, PCAOB standards, SEC regulations, Auditing Standards and internal controls to evaluate and determine the adequacy of operational accounting processes
• Well-developed analytical and problem-solving skills
• Ability to request and/or collect relevant information, identify potential gaps, summarize conclusions, construct/present recommendations, collaborate on the design/testing/implementation of controls, and evaluate control results
• Excellent verbal and written communication skills, with the ability to communicate with key stakeholders and management verbally, and with concise, impactful visuals.

Preferences

• Experience in Financial Services and/or Wealth Management industries
• Process documentation certification (Green Belt/Black Belt) is a plus

 

Pay Range:

$133,088-$221,813/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 29,000 financial advisors and the wealth-management practices of 1,100 financial institution, servicing and custodying approximately $1.9 trillion in brokerage and advisory assets on behalf of approximately 7 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.

For further information about LPL, please visit www.lpl.com.

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. Learn more about our leadership team here!

• Limitless Career Potential: Your career at LPL has no limits, only amazing potential. Learn more about our careers here!

• Unified Mission: We are one team on one mission—taking care of our advisors so they can take care of their clients. Learn more about our mission and values here!

• Impactful Work: Our size is just right for you to make a real impact. Learn more here!

• Commitment to Equality: We support workplace equality and embrace diverse perspectives and backgrounds. Learn more here!

• Community Focus: We care for our communities and encourage our employees to do the same. Learn more here!

• 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. Learn more here!

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.

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