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Sr Engineer, Info Security

Job ID: R-002133 Date posted: 04/12/2018 Primary Location CA-San Diego Other Locations 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) 

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 3,700 employees with primary offices in Boston, Charlotte, and San Diego.

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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