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Analyst, Technology Risk

Job ID: R-012574 Date posted: 04/05/2021 Primary Location CA-San Diego Other Locations SC-Fort Mill

Position Summary:

The Technology Risk and Controls (TRC) team reports to the Information Security and Technology Risk department. In this role, you will be managing IT risks, dealing with security, ]controls, and developing a deep understanding of the organization in order to have specialized cyber security risk-based discussions. The analyst will build relationships with technology leaders to ensure a focus on the correct risk priorities, provide guidance on information security policies and controls, audits, regulations and input on new development. The individual will work to ensure Information Security risks are proactively managed, effectively controlled and/or remediated.

Essential Functions:

  • 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
  • Stay knowledgeable of current advances in all areas of information technology concerning vulnerabilities, security breaches or malicious attacks
  • Maintain knowledge of current technologies in order to effectively evaluate risk
  • Enhance our existing information security management framework based on National Institute of Standards and Technology (NIST)
  • Liaison among the information security team and corporate compliance, audit, legal and HR management teams as required
  • Track and report Technology security metrics
  • Track and follows-up on Technology audit requests within the time period dictated by the Service Level Agreement
  • Update and maintain Technology controls and findings via the Enterprise Risk Management System
  • Track and manage remediation items and/or findings to completion
  • Perform validation testing for cybersecurity and privacy regulations
  • Assist with preparation, coordination and communication for compliance testing by external partners
  • Identify and assess risk, determine applicable controls which mitigate risk, and communicate opportunities for control improvements


  • Bachelor's Degree in Information Systems or related field, or equivalent experience
  • 1+ years or more of experience in information security, 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

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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