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Senior Compliance Analyst, IT Security

Job ID: R-007429 Date posted: 03/09/2020 Primary Location SC-Fort Mill

Job Description:

The Sr. Compliance Analyst of IT Security (IAM/DLP) is a key role within LPL Financial’s Compliance, Legal & Risk (CLR) organization with specific focus on Identity Access Management (IAM) and Data Loss Prevention (DLP).  The individual in this role will partner with Information Security and other key business partners to support the strategic direction for the IAM and DLP programs, to implement and execute testing protocols, perform routine control tests, provide recommendations on how to improve processes to comply with requirements, and ensure policies & procedures are aligned to current regulatory and operating environment.  Experience working in a Compliance organization and a strong working knowledge of IAM and DLP, technical insight, and the ability to collaborate with business partners at all levels is required.  Exceptional organizational and communication skills and working as part of a larger management team and the ability to act as a delegate for executives is also a key requirement for this role.

Primary Responsibilities:

  • Works closely with Information Security team to ensure IAM/DLP controls are executed as expected  and provide recommendations for corrective actions when appropriate to ensure compliance
  • Performs security compliance assessments on IAM/DLP controls, processes and reports on findings, and works with Information Technology team and other key stakeholder teams to ensure the timely  resolution of any findings
  • Collaborate with appropriate teams to interpret external regulatory requirements and the design of internal controls.
  • Assist compliance efforts across IT projects, which includes recommending potential IAM/DLP controls and design solutions.
  • Builds, maintains, and enhances documents outlining policies, procedures and processes to support an efficient IAM/DLP compliance program.
  • Create and analyze periodic service performance metrics designed to monitor adherence to compliance policies and procedures
  • Communicate effectively with management as well as customers to identify needs and evaluate alternative technical solutions and strategies


  • 2+ years of experience in a Compliance or risk function driving adherence to regulatory and internal IT controls
  • 3+ years working as an IT Security Compliance Analyst, Auditor, or similar role with specific focus on IAM/DLP.
  • Working knowledge of compliance processes and standards like GxP, GDPR, SOX, 21 CFR Part 11, SSAE 16.
  • Working knowledge of Information Security principles (e.g.: NIST Cybersecurity Framework (CSF), FIPS) and basics of Information Security policy, techniques and implications across computing platforms.
  • Bachelor’s Degree in Technology, Information Security or related field
  • Ability to work independently and contribute to team deliverables.
  • Good collaboration, interpersonal and communication skills, self-motivated, willingness to take on challenges and adaptability to change.
  • Understanding of risks in banking/financial services sector will be an added advantage

About LPL Financial:

LPL Financial is a leader in the retail financial advice market and the nation’s largest independent broker/dealer*. We serve independent financial advisors and financial institutions, providing them with the technology, research, clearing and compliance services, and practice management programs they need to create and grow thriving practices. LPL enables them to provide objective guidance to millions of American families seeking wealth management, retirement planning, financial planning and asset management solutions. LPL and its affiliates have more than 4,200 employees with primary offices in Boston, Charlotte, and San Diego.

*As reported by Financial Planning magazine, June 1996-2019, based on total revenue.

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 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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  • Compliance, Fort Mill, South Carolina, United StatesRemove