Manager, Finance Governance

LPL Financial•Charlotte, NC

About The Position

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.

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

Nice To Haves

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).

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.