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Senior Analyst, Technology Risk

Job ID: R-015421 Date posted: 06/10/2021 Primary Location SC-Fort Mill Other Locations TX-Austin , CA-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 Senior Analyst, Technology Risk to join our Technology Risk department. In this role, you will serve as a lead team member responsible for IT audit, second line and regulatory support and risk mitigation via interaction with Technology control owners and performers.  The Senior 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.


  • Manage day-to-day assurance readiness processes and coordination with IT Audit and regulatory oversight

  • Build relationships and engages frequently with technology leaders

  • Maintain a positive relationship with auditors

  • Schedule, coordinate and/or facilitate meetings to include the capture of key action items and/or discussion points between technology and assurance teams or regulators

  • Liaison among the information security team and corporate compliance, audit, legal and HR management teams as required

  • Track and follows-up on Technology audit requests within the time period dictated by the Service Level Agreement

  • 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

  • Update and maintain Technology controls and findings via the Enterprise Risk Management System

  • Collaborate with other business unites on audit issues and regulations

  • Enhance our existing information security management framework based on National Institute of Standards and Technology (NIST)

  • Perform control validation testing for cybersecurity and privacy regulations

  • Proactively conduct research and identify opportunities to mitigate risk within the Technology organization and LPL

  • Identify and assess risk, determine applicable controls which mitigate risk, and communicate opportunities for control improvements

  • Development, distribution and maintenance of program metrics and presentations associated with SLAs, audit activities, findings and remediation

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.


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

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

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

  • Skills with MS-Windows and other related PC applications

  • Analytical abilities

  • Good communication and interpersonal skills

  • Organization skills, time-management and prioritization skills

  • Ability to understand and implement best practice security measures

  • Basic knowledge of current technologies

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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