Sr. Analyst, Technology and Product Risk Governance

Job Overview:

We are seeking a highly skilled and experienced Senior Analyst to support our Technology and Product Risk Management program. The candidate will play a critical role in identifying, assessing, and mitigating risks associated with our financial products, services, and technology. This role requires a deep understanding of risk management practices and a proactive approach to safeguarding the company's interests.

Responsibilities:

• Build relationships and engage 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 between technology and assurance teams or regulators

• Validation of preliminary audit findings and support for root cause analysis and impact assessments

• Work with Technology control owners and performers to define Management Action Plans (MAPs) to remediate audit findings

• Identify potential risks associated with new and existing financial products

• Utilize quantitative and qualitative methods to analyze risk exposure

• Develop and implement effective risk mitigation strategies and controls

• Collaborate with cross-functional teams to design and execute risk management plans

• Monitor the effectiveness of risk mitigation strategies and adjust as needed

• Continuously monitor risk levels and emerging risks within the product portfolio

• Prepare detailed risk reports and presentations for senior management and regulatory bodies

• Maintain accurate and up-to-date documentation of risk management activities

• Provide risk-related insights and recommendations to senior management and product teams.

What are we looking for?

We want strong collaborators who can deliver a world-class client experience. We are looking for people who thrive in a fast-paced environment, are client-focused, team oriented, and are able to execute in a way that encourages creativity and continuous improvement.

Requirements:

• Bachelor's Degree in Information Systems or related field, or equivalent experience

• 4+ years or more of experience in a technology risk or audit-related role

• Knowledge of attestation engagements (Sarbanes Oxley, SSAE 16 SOC 1/2)

• CRISC, CISA, CISM or CISSP certification, a plus

Core Competencies:

• Strong project management skills

• Effective verbal and written communication

• Ability to interface with all levels of staff and management

• Financial services industry experience preferred

 

Pay Range:

$90,188-$150,313/year

 

Actual base salary varies based on factors, including but not limited to, relevant skill, prior experience, education, base salary of internal peers, demonstrated performance, and geographic location. Additionally, LPL Total Rewards package is highly competitive, designed to support your success at work, at home, and at play – such as 401K matching, health benefits, employee stock options, paid time off, volunteer time off, and more. Your recruiter will be happy to discuss all that LPL has to offer!

 

Company Overview:

LPL Financial Holdings Inc. (Nasdaq: LPLA) was founded on the principle that the firm should work for advisors and institutions, and not the other way around. Today, LPL is a leader in the markets we serve, serving more than 23,000 financial advisors, including advisors at approximately 1,000 institutions and at approximately 580 registered investment advisor ("RIA") firms nationwide. We are steadfast in our commitment to the advisor-mediated model and the belief that Americans deserve access to personalized guidance from a financial professional.

At LPL, independence means that advisors and institution leaders have the freedom they deserve to choose the business model, services, and technology resources that allow them to run a thriving business. They have the flexibility to do business their way. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors and institutions, so they can take care of their clients.

Join LPL Financial: Where Your Potential Meets Opportunity

At LPL Financial, we believe that everyone deserves objective financial guidance. As the nation’s leading independent broker-dealer, we offer an integrated platform of cutting-edge technology, brokerage, and investment advisor