IT Risk & Controls Analyst II: 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

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.