Skip Navigation
Search Our Jobs

Search Our Jobs

Click Here to View All Available Opportunities at LPL Financial

Analyst, Business Systems

Job ID: R-002453 Date posted: 03/14/2018 Primary Location SC-Fort Mill

Position Summary:

The Technology Risk Analyst, Audit Readiness is responsible for tracking audit requests as they are received from auditors and other third parties with Technology control owners.  Responsibilities include tracking the delivery of information in order to complete requests and maintaining key infrastructure components such as request tracking and request posting repositories.

The Technology Risk Analyst, Audit Readiness works with control owners and senior Audit Readiness team members to evaluate control designs, determine control weaknesses and provide recommendations to the Technology Business Unit (BU).  Additional responsibilities include documenting Technology procedures and/or control activities via narratives, flowcharts, and standard operating procedures (SOPs), as well as other ad-hoc risk management initiatives such as coordinating reviews of access recertification documentation (e.g., Information Provided by Entity – IPE) produced by Technology.

The Technology Risk Analyst, Audit Readiness executes assigned projects encompassing Technology infrastructure, applications and business processes independently as well as within a group dynamic, including helping the senior Audit Readiness team members with project related work and ad-hoc requests.

Essential Functions:

  • Request tracking, Technology reporting and infrastructure maintenance
  • Identify document/information requests from emails between process/control owners, internal audit, external audit and Technology
  • Track request initiation aging and delivery
  • Provide daily/weekly/monthly/on-demand reporting on requests and other related data metrics (e.g., number of requests, past due responses, issues)
  • Maintain existing request tracking, document posting, and audit controls infrastructure
  • Document detailed feedback and communicate issues and areas of improvement to Technology control owners
  • Assist with preparation, coordination and execution for compliance testing, internal/external audits and regulatory action items through meeting attendance, information gathering and issue follow-up
  • Facilitate and assist Technology resources with audit requests from internal and external audit
  • Interpret audit/controls related information, standards and documentation
  • Discern evidence from control owners about the processes actually in place
  • Communicate status to control owners and team (verbal, written, structured communication)

Job Requirements:

  • Bachelor's Degree in Information Systems or related field, or equivalent experience
  • Familiarity with SOX IT 404, SSAE 16, COBIT
  • One year of experience in IT process and procedure development
  • Experience with auditing information technology general computer controls and application controls
  • Ability to work in a very dynamic environment. Skilled at frequently balancing multiple tasks and remaining clearly focused on team and individual objectives, manage priorities and meet deadlines
  • CISA, CISM or CISSP certification, a plus
  • Experience with Microsoft Office and SharePoint
  • Good listening, negotiation and problem-solving skills
  • Effective verbal and written communication
  • Ability to interface with all levels of staff and management
  • Financial services industry experience preferred

Our Company:

LPL Financial, the nation’s largest independent broker/dealer since 1996* and the fourth largest broker/dealer overall, serves as an enabling partner to more than 14,000 independent financial advisors and approximately 700 financial institutions. Since its formation decades ago, LPL has focused on one primary mission -- enabling independent financial advisors to bring objective and un-biased financial advice to millions of Americans. 

Headquartered in Boston, San Diego, and Fort Mill, and powered by more than 3,300 client-centric employees, LPL is financially strong and growing.

Our Culture:

If you join LPL, you will join a culture that believes in delivering a world-class client experience and looks to all employees to contribute to that goal by sharing their creativity, experience, and passion for continuous improvement. As a destination of choice, our top priorities are growth and development, social responsibility, and financial health for our employees. 

We offer competitive compensation and industry leading benefits, including a wellness facility with onsite fitness classes, healthy meal choices, and a walk-in clinic. We support employee financial health through a 401k match, ESPP, and employee discounts. Work/life balance is our foundation and is supported through paid holidays, and paid time off (including time to volunteer). We foster a diverse work environment through Employee Resource Groups and diverse strategic partnerships.  

Join the LPL team and help us make a difference by turning life’s aspirations into financial realities. Please login or create an account to apply to this position. Principals only. EOE

*As reported by Financial Planning magazine, June 1996-2017, based on total revenue.

Sign Up for Email Alerts!

Areas of InterestStay up-to-date about the latest opportunities at LPL Financial! Choose at least one category and/or location from the auto-suggestions and click 'Add' to subscribe.