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Senior Analyst, Technology Audit Readiness

Job ID: R-001750 Date posted: 11/29/2017 Primary Location SC-Fort Mill

The Sr. Analyst, Technology Audit Readiness serves as a lead team member responsible for IT audit support and risk mitigation via interaction with Technology control owners, performers and Audit representatives.  The Sr. Analyst functions as a project manager/subject matter expert, overseeing the completion of assigned tasks encompassing all aspects of key control, regulatory and internal audits.

Technology Audit Support (90%)

  • Management of day- to-day Audit Readiness processes and coordination with IT Audit (Internal & External) and regulatory oversight
  • Serve as the primary contact in facilitating and assisting Technology resources with IT audit requests for evidence
  • Development, distribution and follow-up actions for daily Audit Snapshot reporting
  • Tracking and follow-up for Technology audit requests within the time period dictated by the Service Level Agreement (SLA)
  • Validation of Technology audit request evidence received for quality and completeness prior to delivery to IT Audit
  • Attendance at all Audit meetings and walkthroughs with Technology control owners and performers
  • Validation of preliminary audit findings and support for root cause analysis and impact assessments
  • Work with Technology control owners and performers to define Management Action Plans (MAPs) to remediate audit findings
  • Collaboration with Compliance, Legal and Risk (CLR) and Service, Trading and Operations Risk Management (STORM) on audit issues and regulations
  • Proactively conduct research and identify opportunities to mitigate risk within the Technology organization and LPL
  • Development, distribution and maintenance of program metrics and presentations associated with SLAs, audit activities, findings and remediation

Mentor/Train Audit Readiness Analysts (10 %)

  • Mentor/train Audit Readiness Analysts on:
    • Audit request processing and reporting
    • Documentation standards
    • Services (e.g., scheduled controls tracking, support) 

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.

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