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The health and safety of our employees and candidates is very important to us. Due to the current situation related to the Novel Coronavirus (COVID-19), we’re leveraging our digital capabilities to ensure we can continue to recruit top talent at LPL Financial.As your application progresses, you may be asked to use one of our digital tools to help you through your recruitment journey. If so, one of our recruiters will explain what type of interviewing technology will be used throughout the recruitment process and will be on hand to answer any questions that you have. You can also email us at LPLFinancialHiring@lplfinancial.com.
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Sr. Analyst, Information Security Governance

Job ID: R-022601 Date posted: 05/20/2022 Primary Location CA-Remote Other Locations IL-Remote , MD-Remote , NC-Remote ,SC-Remote

Are you a team player? Are you curious to learn? Are you interested in working in meaningful projects? Do you want to work with cutting-edge technology? Are you interested in being part of a team that is working to transform and do things differently? If so, LPL Financial is the place for you!

LPL Financial is one of the nation's leading financial services companies and a publicly traded company under ticker symbol LPLA.  We support over 18,000 financial professionals—including over 14,000 independent advisors, more than 700 financial institutions, and over 4,000 institutional clearing and technology subscribers. We enable advisors to focus on their clients by reducing the complexity of running their practice and we support their business by offering enabling technology, comprehensive clearing and compliance services, practice management programs and training, and independent research. At LPL, we take care of our advisors, so they can take care of their clients. And Technology is at the center of our mission.

Job Overview:

We are hiring a Sr. Analyst, Information Security to join our Technology Risk department. In this role, you will lead and execute on a growing slate of activities related to technology governance, including obtaining and maintaining SOC 2 certification, assisting internal/external auditors on attestation engagements, and Technology policy/control management.  The Senior Analyst functions as a project manager/subject matter expert, overseeing the completion of assigned tasks encompassing all aspects of Technology governance.

Responsibilities:

  • Oversee SSAE 18 SOC 2 attestation activities including but not limited to mapping of control, status updates, cross-department coordination, reporting writing and report issuance

  • Support activities of Information Technology internal and external auditors for attestation engagements (e.g. Sarbanes Oxley, SOC 1, FICCA and SEC 17a-5)

  • Maintain a positive relationship with internal/external auditors

  • Collaborate with various IT departments on preliminary attestation engagement findings to validate findings and determine root cause analysis and impact assessments

  • Perform third party SOC report reviews mapping Complementary User Entity Controls (CUEC)’s to LPL controls

  • Assist in the management of the common control framework including updating controls and rationalizing controls for new standards and frameworks

  • Provide input to the vision and strategy for security governance

  • Contribute to the maturity and measurement of the security compliance program by developing and revising operational metrics

  • Contribute to security program development by identifying new or emerging opportunities to apply security principles and technologies

What are we looking for?

We want strong collaborators who can deliver a world-class client experience. We are looking for people who thrive in a fast-paced environment, are client-focused, team oriented, and are able to execute in a way that encourages creativity and continuous improvement.

Requirements:

  • Bachelor's Degree in Information Systems or related field, or equivalent experience

  • 4+ years or more of experience in technology risk or audit related role

  • Experience with attestation engagements (Sarbanes Oxley, SSAE 16 SOC 1/2)

  • Knowledge of Technology frameworks including (NIST, COBIT)

Core Competencies:

  • Strong project management skills

  • Exceptional verbal and written communication

  • Ability to interface with all levels of staff and management

Preferences:

  • CRISC, CISA, CISM, PMP or CISSP certification, a plus

  • Big 4 experience a plus

  • Financial services industry experience preferred

#LI-SA

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 @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 (800) 877-7210.

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