Analyst II, Tech Governance & Assurance

LPL Financial; Tempe (AZ); On-site; USD 4,844,000 - 8,077,000; Full time

Benefits offered by this job

401K matching

health benefits

employee stock options

paid time off

volunteer time off

Job summary

LPL Financial in Tempe, AZ, is seeking an experienced IT Risk & Controls professional to join our first line of defense. You will own day-to-day readiness, testing, and audit facilitation for IT compliance programs — including SOX, SOC 1, SOC 2, and NYDFS attestation — and partner with IT, Engineering, Security, and Internal Audit.

This is hands-on, embedded work with control owners, performing self-testing and remediation before controls reach auditors. Applicants must have valid U.S.

Qualifications

• 4+ years IT audit with hands‑on exposure to SOX IT General Control and SOC 1 / SOC 2 engagements.
• 2+ years of IT General Controls and control frameworks (COSO, COBIT, SOC Trust Services Criteria).
• 2+ years of experience facilitating audits and managing auditor relationships (external, service auditor, or internal audit).

Responsibilities

• Coordinate SOC 1/2 and SOX audits — managing PBC requests, evidence collection, walkthrough scheduling, and auditor Q&A.
• Liaise between control owners and external auditors/service auditors to ensure timely, complete responses.
• Track audit findings, exceptions, and management responses through remediation and closure.

Skills

SOX/ITGC

SOC 1/2 Audits

Audit coordination

Documentation

Tools

ServiceNow GRC

Archer

Job description

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 looking for an experienced IT Risk & Controls professional to join our first line of defense. In this role you will own the day-to-day readiness, testing, and audit facilitation for our IT compliance programs — including SOX, SOC 1, SOC 2, CCPA/CPRA cybersecurity audits, and NYDFS (23 NYCRR 500) attestation. You will partner closely with IT, Engineering, Security, Internal Audit, and external auditors to keep our control environment audit-ready year-round, while driving automation that reduces manual testing effort.

This is a hands‑on, first‑line position: you will be embedded with the control owners, performing self-testing and remediation before controls reach internal audit or external assessors.

This position does not offer work authorization sponsorship now or in the future. Applicants must have valid U.S. work authorization that does not require employer sponsorship.

Responsibilities

• Serve as the primary coordinator for SOC 1, SOC 2, and SOX audits — managing PBC (Provided-by-Client) request lists, evidence collection, walkthrough scheduling, and auditor Q&A.
• Act as the liaison between control owners and external auditors/service auditors, ensuring timely, complete, and accurate responses.
• Track audit findings, exceptions, and management responses through to remediation and closure.

First‑Line Control Testing (ITGC)

• Perform first-line risk assessments and control self-testing across IT General Controls domains, including logical/privileged access management, change management, SDLC, computer operations (backup, job scheduling, incident management), and data management.
• Identify control gaps and design deficiencies proactively, and work with owners on remediation plans before formal audit periods.
• Maintain control narratives, risk-and-control matrices (RCMs), and evidence repositories.

Regulatory & Compliance Programs

• Support CCPA/CPRA cybersecurity audit requirements, mapping controls to applicable privacy and security obligations.
• Prepare and support the annual NYDFS (23 NYCRR 500) certification/attestation process, including evidence gathering and compliance validation.
• Keep control frameworks aligned to evolving regulatory and industry requirements.

Automation & Continuous Improvement

• Design and implement control testing automation and continuous controls monitoring (CCM) to reduce manual sampling and evidence collection.
• Build automated evidence pulls, testing scripts, and dashboards using GRC platforms and/or scripting/data tools.
• Recommend process and tooling improvements that increase testing coverage and efficiency.

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

• 4+ years of experience in IT audit with hands‑on exposure to SOX IT General Control and SOC 1 / SOC 2 engagements.
• 2+ years of IT General Controls and control frameworks (COSO, COBIT, SOC Trust Services Criteria).
• 2+ years of experience facilitating audits and managing auditor relationships (external, service auditor, or internal audit).

Core Competencies

• Demonstrated experience with control testing automation or continuous controls monitoring.
• Excellent documentation, organization, and stakeholder-communication skills.

Preferences

• Data Analytics or automated control testing experience
• Familiarity with data privacy and cybersecurity regulations such as CCPA/CPRA and NYDFS 23 NYCRR 500.
• Relevant certifications: CISA, CIA, CISSP, CRISC, or CPA.
• Hands‑on experience with GRC / audit‑automation platforms (e.g., ServiceNow GRC, Archer).
• Scripting/data skills for automation (SQL, Python, Alteryx, or Power BI).
• Experience in internal audit or Big four accounting firm.
• Prior experience in the financial services or banking.

Pay Range

$35.16-$58.63/hour

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.

• 401K matching
• health benefits
• employee stock options
• paid time off
• volunteer time off
• more

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(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.

EOE.

EAC 5.19.26