IT Risk & Controls Analyst — First-Line Assurance

LPL Financial; Austin (TX); On-site; USD 4,844,000 - 8,059,000; Full time

Benefits offered by this job

Health benefits

401K matching

Stock options

Job summary

LPL Financial is seeking an experienced IT Risk & Controls professional to join its 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, CCPA/CPRA, and NYDFS attestations.

Collaboration with IT, Engineering, Security, and Internal Audit is essential. You will embed with control owners, perform self-testing, and drive remediation before audits.

Qualifications

• 4+ years of IT audit experience with hands-on exposure to SOX IT General Controls and SOC 1/2 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).

Responsibilities

• Audit Facilitation: coordinate SOC 1, SOC 2, and SOX audits; manage PBC request lists and evidence collection.
• First-Line Control Testing (ITGC): perform risk assessments and self-testing across ITGC domains.
• Regulatory & Compliance Programs: support CCPA/CPRA and NYDFS 23 NYCRR 500 attestation processes.
• Automation & Continuous Improvement: design automated control testing and CCM to reduce manual effort.

Skills

IT audit

SOX/SSAE

Audit coordination

Education

CISA/CIA/CISSP/CRISC/CPA

Tools

ServiceNow GRC

Archer

SQL

Python

Power BI

Job description

LPL Financial is seeking an experienced IT Risk & Controls professional to join its 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, CCPA/CPRA, and NYDFS attestations.

Collaboration with IT, Engineering, Security, and Internal Audit is essential. You will embed with control owners, perform self-testing, and drive remediation before audits.