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Fort Mill, South Carolina, United States
Hybrid
Where Ambition Meets Innovation
Build a career that matches all your initiative with an impressive dose of innovation. From cutting-edge resources and a collaborative environment to the freedom to make an impact and more, you’ll find the ingredients you need at LPL Financial to shape your success while helping clients pursue their financial goals.
Job Overview:
We are seeking a highly skilled and experienced Senior Analyst to support our Technology, Information Security 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 engages frequently with technology leaders
Maintain a positive relationship with internal 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 and self-identified 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
Provide risk-related insights and recommendations to senior management and product teams.
Leverage AI-driven capabilities to achieve efficiency in risk management lifecycle
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 can execute in a way that encourages creativity and continuous improvement.
Requirements:
4+ years or more of experience in technology and cyber security risk or audit related role
1+ year of cyber security risk assessments
Core Competencies:
Strong project management skills
Ability to work independently while contributing to team deliverables in a fast-paced environment
Ability to drive efficiency through AI-assisted risk tracking and process optimization
Effective verbal and written communication
Ability to interface with all levels of staff and management
Preferences:
Financial services industry experience preferred
Bachelor's Degree in Information Systems or related field
CRISC, CISA, CISM or CISSP certification, a plus
Attestation engagements (Sarbanes Oxley, NYDFS, SOC 1 or SOC 2, etc.)
Pay Range:
$92,906.00 - $154,809.00Company 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(6) , LPL supports over 32,000 financial advisors and the wealth management practices of approximately 1,100 financial institutions, servicing and custodying approximately $2.3 trillion in brokerage and advisory assets on behalf of approximately 8 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. For further information about LPL, please visit www.lpl.com.
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.
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.
EAC 5.19.26