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AVP Technology Risk and Controls

Job ID: R-011949 Date posted: 11/20/2020 Primary Location SC-Fort Mill Other Locations TX-Austin , CA-San Diego

Position Summary:

An Associate Vice President (AVP) of Technology Risk and Control reports to the Information Security and Technology Risk department. The AVP, Technology Risk and Controls is a people manager role responsible for IT audit support, controls management and risk mitigation through interactions with Technology control owners and Audit representatives. Additionally, this role will be responsible for identifying and aligning controls to various control frameworks. This role will be working closely with the BISO team, Technology Compliance, Enterprise Risk Management and Internal Audit, as well as Technology members of various levels.

Responsibilities include, but are not limited to:

  • Builds relationships and engages frequently with the BISO team, Technology Compliance. Enterprise Risk Management and Internal Audit and maintains a positive relationship with technology leaders
  • Attends monthly compliance oversight committee meetings
  • Liaison for compliance engagements (Sarbanes Oxley, SOC 1, FICCA) aiding in preparation and coordination
  • Coordinates with IT Audit and regulatory oversight, ensuring they are connecting with the correct Technology members and receiving requests for evidence
  • Build and implement a program for SOC II compliance, working with Technology and external auditors on controls compliance and reporting
  • Work with Technology control owners and performers to define Management Action Plans (MAPs) to remediate findings
  • Annually validate compliance with regulatory requirements (e.g. NYDFS)
  • Aligns Technology controls with policies and standards
  • Asses Technology processes to identify controls and evaluate opportunities for efficiency gains or automation
  • People management responsibilities include sourcing, hiring, coaching, feedback, recognizing and developing analyst. Some of the analyst responsibilities include daily monitoring of audit requests, attending audit walkthroughs/meetings, control maintenance in ERP application, tracking and testing of findings and EOL discussions/tracking for BISO team


  • Bachelor's Degree in Information Systems or related field, or equivalent experience
  • 6+ years or more of experience in information security, technology risk or audit related role
  • 5+ years of direct management experience
  • Strong knowledge and experience with technology-related regulatory requirements and frameworks including FFIEC, COBIT, NIST, ITIL
  • Knowledge of core requirements for Sarbanes Oxley, SOC I, FICCA and NYDFS
  • CRISC, CISA, CISM or CISSP certification, a plus
  • Project management experience highly desired
  • Effective verbal and written communication
  • Ability to interface with all levels of staff and management
  • Financial services industry experience preferred

Why LPL? 

At LPL, we believe that objective financial guidance is a fundamental need for everyone. As the nation’s leading independent broker-dealer, we offer an integrated platform of proprietary technology, brokerage, and investment advisor services. We provide you with a work environment that encourages your creativity and growth, a leadership team that is supportive and responsive, and the opportunity to create a career that has no limits, only amazing potential.

We are one team on one mission. We take care of our advisors, so they can take care of their clients.

Because our company is not too big and not too small, you can seize the opportunity to make a real impact. We are committed to supporting workplace equality, and we embrace the different perspectives and backgrounds of our employees.We also care for our communities, and we encourage our employees to do the same. This creates an environment in which you can do your best work.

Want to hear from our employees on what it’s like to work at LPL?  Watch this!

We take social responsibility seriously. Learn more here

Want to see info on our benefits?  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 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 (800) 877-7210.

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