Kayton Samuels

Senior Analyst - Risk Management (Finance Governance) @LPL Financial

Fort Mill, SC, US

Actively evaluates and document end-to-end financial and operational processes to identify key risks and control points in accordance with SOX, 17a-5, and enterprise control frameworks.• Developed detailed process maps, risk-control matrices (RCMs), and control narratives supporting key financial reporting workstreams, including general ledger, reconciliations, and close processes.• Partnered with Finance, Accounting, and IT stakeholders to assess data flow risks, ensure control alignment, and enhance process transparency across financial systems.• Report on the status of various initiatives to various levels of leadership within Finance Risk Governance & Controls and other Finance departments.• Drive compliance with risk program requirements in Finance, including business continuity planning, policy and procedure maintenance, records management, and vendor oversight.• Supports Finance teams with Controls Report Testing Program (CRTP) and Internal Audit reviews, including walkthrough preparation and support, SOC report reviews, and issue management.• Assist with the Finance Business Continuity program, including annual continuity plan refreshes and testing.• Investigate and analyze control deficiencies and operational risk issues impacting Finance, developing root cause analyses and actionable remediation plans.• Contributed to a culture of continuous improvement through process reengineering, automation, and enhanced documentation practices.

Indiana University Bloomington

Master of Library & Information Science - MLIS, Computer and Information Sciences and Support Services

Syracuse University College of Arts and Sciences

Bachelor of Science - BS, Pschology

Indiana University Luddy School of Informatics, Computing, and Engineering

Master of Information Science

Syracuse University

Bachelor of Arts