LPL Financial
Senior Analyst, Technology Risk and Governance
LPL Financial, Fort Mill, South Carolina, United States, 29715
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 for day-to-day efforts that include, but are not limited to, conducting risk assessments, conducting regular testing and inspection of our Information Technology (IT) control environment, evaluating strengths and weaknesses 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. Provide 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’s 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 ongoing technology risk reporting, monitoring key trends and defining metrics to regularly measure control effectiveness. Support other IT Risk Management oriented activities as required. Qualifications
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. 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 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) is among the fastest growing wealth management firms in the U.S. As a leader in the financial advisor-mediated marketplace, LPL supports over 29,000 financial advisors and the wealth-management practices of 1,100 financial institutions, servicing and custodying approximately $1.9 trillion in brokerage and advisory assets on behalf of approximately 7 million Americans. The firm provides a wide range of advisor affiliation models, investment solutions, fintech tools and practice management services, ensuring that advisors and institutions have the flexibility to choose the business model, services, and technology resources they need to run thriving businesses. 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. For further information about LPL, please visit www.lpl.com. Why LPL
Innovative Environment: We foster creativity and growth, providing a supportive and responsive leadership team. Limitless Career Potential: Your career at LPL has no limits, only amazing potential. Unified Mission: We are one team on one mission—taking care of our advisors so they can take care of their clients. Impactful Work: Our size is just right for you to make a real impact. Commitment to Equality: We support workplace equality and embrace diverse perspectives and backgrounds. Community Focus: We care for our communities and encourage our employees to do the same. Benefits and Total Rewards: Our Total Rewards package includes a mix of traditional and unique benefits, perks, and resources designed to enhance your life both at work and at home. 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 @lplfinancial.com 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 (855) 575-6947.
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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 for day-to-day efforts that include, but are not limited to, conducting risk assessments, conducting regular testing and inspection of our Information Technology (IT) control environment, evaluating strengths and weaknesses 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. Provide 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’s 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 ongoing technology risk reporting, monitoring key trends and defining metrics to regularly measure control effectiveness. Support other IT Risk Management oriented activities as required. Qualifications
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. 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 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) is among the fastest growing wealth management firms in the U.S. As a leader in the financial advisor-mediated marketplace, LPL supports over 29,000 financial advisors and the wealth-management practices of 1,100 financial institutions, servicing and custodying approximately $1.9 trillion in brokerage and advisory assets on behalf of approximately 7 million Americans. The firm provides a wide range of advisor affiliation models, investment solutions, fintech tools and practice management services, ensuring that advisors and institutions have the flexibility to choose the business model, services, and technology resources they need to run thriving businesses. 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. For further information about LPL, please visit www.lpl.com. Why LPL
Innovative Environment: We foster creativity and growth, providing a supportive and responsive leadership team. Limitless Career Potential: Your career at LPL has no limits, only amazing potential. Unified Mission: We are one team on one mission—taking care of our advisors so they can take care of their clients. Impactful Work: Our size is just right for you to make a real impact. Commitment to Equality: We support workplace equality and embrace diverse perspectives and backgrounds. Community Focus: We care for our communities and encourage our employees to do the same. Benefits and Total Rewards: Our Total Rewards package includes a mix of traditional and unique benefits, perks, and resources designed to enhance your life both at work and at home. 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 @lplfinancial.com 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 (855) 575-6947.
#J-18808-Ljbffr