IT Risk & Controls Analyst - First-Line Audit & Automation

LPL Financial; Town of Charlotte (NY); On-site; USD 48,000 - 81,000; Full time

Job summary

LPL Financial, a leading wealth management firm, is seeking an experienced IT Risk & Controls professional to own day-to-day readiness, testing, and audit facilitation for IT compliance programs, including SOX, SOC 1, SOC 2, CCPA/CPRA cybersecurity audits, and NYDFS attestation. This hands-on, first-line role embeds you with control owners to perform self-testing and remediation before audits.

You will partner with IT, Engineering, Security, and Internal Audit to maintain an audit-ready

Qualifications

• 4+ years of IT audit experience with hands-on exposure to SOX ITGC
• 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

• Audit Facilitation: coordinate SOC 1, SOC 2, and SOX audits, manage PBC requests, evidence collection, scheduling, and auditor Q&A
• First-Line Control Testing (ITGC): perform risk assessments and self-testing across IT general controls domains and identify remediation needs
• Regulatory & Compliance Programs: support CCPA/CPRA and NYDFS 23 NYCRR 500 attestation, map controls to privacy/security obligations
• Automation & Continuous Improvement: design and implement control testing automation and CCM, build automated evidence pulls and dashboards

Skills

IT risk & controls

SOX / SOC audits

Audit facilitation

Regulatory compliance

Tools

ServiceNow GRC

Archer

SQL

Python

Power BI

Job description

LPL Financial, a leading wealth management firm, is seeking an experienced IT Risk & Controls professional to own day-to-day readiness, testing, and audit facilitation for IT compliance programs, including SOX, SOC 1, SOC 2, CCPA/CPRA cybersecurity audits, and NYDFS attestation. This hands-on, first-line role embeds you with control owners to perform self-testing and remediation before audits.

You will partner with IT, Engineering, Security, and Internal Audit to maintain an audit-ready