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Sr Engineer, Info Security

Job ID: R-002020 Date posted: 01/19/2018 Primary Location SC-Fort Mill

Sr. Engineer, Technology Risk Management serves as a team member responsible for Technology Risk Management support and risk mitigation via interaction with Technology control owners and performers.  The Sr. Engineer functions as a subject matter expert, overseeing the completion of assigned tasks encompassing all aspects of remediation governance.

Technology Risk Management Support (90%)

  • Management of day- to-day Remediation Governance processes and coordination with Technology process owners, Technology Audit Readiness team, and Compliance, Legal, and Risk (CLR) department
  • Serve as the primary contact in facilitating and assisting Technology resources with ensuring remediation is completed timely
  • Serve as the primary contact for all Technology findings with CLR department
  • Serve as the primary contact for Technology team to report potential issues and operational risk incidents (ORIs)
  • Development, distribution and follow-up actions for monthly reporting to Technology Department Senior Vice Presidents
  • Development, distribution and follow-up actions for weekly and monthly reporting within Information Security and Risk Management Department
  • Tracking and follow-up for Technology findings within the time period dictated by the CLR policy
  • Facilitate Risk Accepts for findings not remediated between Technology process owners and CLR department
  • Validation of Technology issues completed remediation for quality and completeness prior to delivery to CLR department
  • Attendance at all issues / findings meetings with Technology control owners and performers
  • Validation of preliminary issues and support for root cause analysis and impact assessments
  • Work with Technology control owners and performers to define Management Action Plans (MAPs) to remediate findings
  • 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, findings and remediation

Mentor/Train Technology Risk Management Analysts (10 %)

  • Mentor/train Audit Readiness Analysts on:
    • Issues request processing and reporting
    • Documentation standards
    • Services (e.g., issues 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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