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Technology Risk Analyst - Audit Readiness

Job ID: R-005426 Date posted: 01/18/2019 Primary Location CA-San Diego Other Locations SC-Fort Mill

Position Summary

The Technology Risk Analyst is responsible for tracking audit requests as they are received from auditors and other third parties with Technology control owners.  Responsibilities include tracking the delivery of information in order to complete requests and maintaining key infrastructure components such as request tracking and request posting repositories. Additional responsibilities include working with control owners and senior team members to evaluate control designs, determine control weaknesses and provide recommendations to the Technology Business Unit (BU).  

The Technology Risk Analyst executes assigned projects encompassing Technology infrastructure, applications and business processes independently as well as within a group dynamic, including helping with project related work and ad-hoc requests.

Essential Functions

  • Request tracking, Technology reporting and infrastructure maintenance
  • Identify document/information requests from emails between process/control owners, internal audit, external audit and Technology
  • Track request initiation aging and delivery
  • Provide daily/weekly/monthly/on-demand reporting on requests and other related data metrics (e.g., number of requests, past due responses, issues)
  • Maintain existing request tracking, document posting, and audit controls infrastructure
  • Document detailed feedback and communicate issues and areas of improvement to Technology control owners
  • Assist with preparation, coordination and execution for compliance testing, internal/external audits and regulatory action items through meeting attendance, information gathering and issue follow-up
  • Facilitate and assist Technology resources with audit requests from internal and external audit
  • Interpret audit/controls related information, standards and documentation
  • Discern evidence from control owners about the processes actually in place
  • Communicate status to control owners and team (verbal, written, structured communication)
  • Facilitate validation of preliminary audit findings and provide support for discussions
  • Provide support to Technology control owners and performers in defining Management Action Plans to remediate audit findings
  • Collaborate with Compliance, Legal and Risk (CLR), and Service, Trading, and Operations Risk Management (STORM) on audit issues and regulations


  • Bachelor's Degree in Information Systems or related field, or equivalent experience
  • Familiarity with SOX IT 404, SSAE 18, COBIT
  • One year of experience in IT process and procedure development
  • Experience with auditing information technology general computer controls and application controls
  • Ability to work in a very dynamic environment. Skilled at frequently balancing multiple tasks and remaining clearly focused on team and individual objectives, manage priorities and meet deadlines
  • CISA, CISM or CISSP certification, a plus
  • Experience with Microsoft Office and SharePoint
  • Good listening, negotiation and problem-solving skills
  • Effective verbal and written communication
  • Ability to interface with all levels of staff and management
  • Financial services industry experience preferred

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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