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AVP, Advisor Technology Risk

Job ID: R-005812 Date posted: 04/15/2019 Primary Location SC-Fort Mill Other Locations CA-San Diego

The Sr. Analyst - Advisor Technology Risk is a high visibility position, responsible for engaging with LPL advisors, promoting a risk-aware security posture, performing technology risk assessments and creating solutions to advisor security challenges. A successful team member maintains a deep technical knowledge, alongside business and regulatory experience to ensure LPL advisors operate the technology of their business in a safe and secure manner.  

This qualified security professional will be assessing technology risk as it relates to policies and programs, cybersecurity regulations, and other requirements as necessary. The candidate will visit advisor offices as required, serving as a point of contact for the LPL technology risk program, security questionnaires, as well as the reporting of risks to internal stakeholders.

Primary Responsibilities will include:

  • Act as a liaison between technical resources, information security, communications and the advisor community
  • Promote an intuitive, informational and pleasurable experience for advisors as it relates to their technology and information security posture
  • Collection and analysis of advisor question responses, data points and documentation
  • Recommendations and assurances based on site visits and documentation
  • Assists in developing and improving an information security assessment program designed to assess business partners and third-party controls
  • Plan and executes information security reviews of internal business processes and stakeholders associated with advisor and investor data using LPL processes and standards through virtual or onsite assessments.
  • Identify technology risks to appropriate parties. Provide escalation path for information security issues, incidents and enquiries.


  • Bachelor’s degree in Information Security, Business, Technology, Communications or related field with 7-10 years of experience
  • Detailed knowledge of several information security domains, such as: access management, encryption, network security, multi-factor authentication, or regulatory/compliance
  • Familiarization with NYDFS, CCPA and other security and privacy regulations
  • CISA, CISM, CISSP, or comparable certifications a plus.
  • Knowledge of IT Risk and Security governance frameworks such as ISO 27001, NIST, and FFIEC.
  • FAIR or similar Risk Quantification experience
  • Good collaboration and interpersonal skills, self-motivated, willingness to take on challenges and adaptability to change.
  • Excellent verbal and written communication skills, with a strong attention to detail and multi-tasking
  • Ability to work independently and contribute to team deliverables.
  • 25% or more travel as required

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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  • Information Technology, San Diego, California, United StatesRemove
  • Information Technology, Fort Mill, South Carolina, United StatesRemove