Senior Analyst, Technology Risk and Governance

What if you could build a career where ambition meets innovation? At LPL Financial, we empower professionals to shape their success while helping clients pursue their financial goals with confidence. What if you could have access to cutting-edge resources, a collaborative environment, and the freedom to make an impact? If you're ready to take the next step, discover what’s possible with LPL Financial.

Job Overview:

We are looking for an individual who will be a key player within the second line of defense, reporting to the Head of IT Risk Management. This role is primarily responsible with performing our day-to-day efforts that includes, but is not limited to, conducting risk assessments, conducting regular testing and inspection of our Information Technology (IT) control environment, evaluating strengths & weakness within existing controls, maintaining IT policies and procedures, addressing audit findings, and collaborating with our IT counterparts to ensure enhancements are implemented in a timely and effective manner.

Responsibilities:

• Work directly with business units to facilitate IT risk assessment and risk management processes, and work with internal stakeholders on identifying acceptable levels of residual risk.
• Enhance our existing IT and information security management framework such as COBIT or National Institute of Standards and Technology (NIST).
• Act as the main lead in working with development teams to continually identify functionality and processes enhancements for the application risk enhancements for the application risk assessment and risk metrics.

• Act as the main lead in the automation of control compliance
• Provide responses to clients / regulators to cyber security related inquiries
• Maintain security policies, standards, and guidelines to ensure each remains up-to-date. Ensure dissemination of security policies and practices is timely and comprehensive for internal/external clients
• Provides IT risk guidance for projects, including the evaluation and recommendation of technical controls.
• Ensure that overall IT and security programs are in compliance with relevant laws, regulations and policies to minimize or eliminate risk and audit findings.
• Liaison among the information security team and corporate compliance, audit, legal and HR management teams as required.
• Assist with the organization current data security and incident monitoring activities and respond to control issues or end-user failures, where necessary.

• Manage reporting calendar to ensure timely submission of required deliverables, including metrics, findings, and incidents, and other key areas
• Support the production of materials for senior-level risk and governance committees
• Identify opportunities for process improvement and automation to increase efficiency and effectiveness of reporting
• Develop on-going technology risk reporting, monitoring key trends and defining metrics to regularly measure control effectiveness
• Support other IT Risk Management oriented activities as required.

What are we looking for?

We’re looking for strong collaborators who deliver exceptional client experiences and thrive in fast-paced, team-oriented environments. Our ideal candidates pursue greatness, act with integrity, and are driven to help our clients succeed. We value those who embrace creativity, continuous improvement, and contribute to a culture where we win together and create and share joy in our work.

Requirements:

• 3- 5 years of experience in the field of IT Risk, IT Audit or Information Security
• Working experience in IT Risk Assessment and/or Audit
• CISSP, CISA, CISM, or equivalent certification

Core Competencies:

• Solid IT background (IT degree holder preferred)
• Ability to explain technical risks in a business context
• Highly self-motivated and capable to work under pressure

Preferences:

• Experience with ISO, COBIT, NIST
• Demonstrated analytical and problem-solving skills.
• Excellent communications and interpersonal skills.
• Ability to effectively interact and supervise a diverse group of IT Staff located in multiple sites.

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Pay Range:

$78,525-$130,875/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 pla