Tech Risk & Compliance Analyst II

LPL Financial LLC; Town of Charlotte, Fort Mill (NY, SC); Hybrid; USD 100,781,000 - 168,067,000; Full time

Job summary

LPL Financial Holdings Inc. is seeking an experienced IT Risk & Controls professional to join the first line of defense. You will own day-to-day readiness, testing, and audit facilitation for SOX, SOC 1, SOC 2, CCPA/CPRA, and NYDFS 23 NYCRR 500 attestations.

You will partner with IT, Engineering, Security, and Internal Audit to keep the control environment audit-ready year-round while driving automation that reduces manual testing. This is a hands-on, embedded role with control owners.

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 audit).

Responsibilities

• Audit Facilitation: coordinate SOC 1, SOC 2, and SOX audits; manage evidence collection and audit responses; track findings through remediation and closure.
• First-Line Control Testing (ITGC): perform risk assessments and self-testing across ITGC domains; document control narratives and evidence.
• Regulatory & Compliance Programs: support NYDFS 23 NYCRR 500, CCPA/CPRA compliance mapping and attestations; keep frameworks aligned with regs.
• Automation & Continuous Improvement: design testing automation and CCM; develop scripts and dashboards using GRC tools and data platforms.

Skills

SOX ITGC

SOC 1/2

Audit facilitation

GRC tooling

SQL

Python

CCPA/CPRA

Tools

ServiceNow GRC

Archer

Power BI

Alteryx

Job description

LPL Financial Holdings Inc. is seeking an experienced IT Risk & Controls professional to join the first line of defense. You will own day-to-day readiness, testing, and audit facilitation for SOX, SOC 1, SOC 2, CCPA/CPRA, and NYDFS 23 NYCRR 500 attestations.

You will partner with IT, Engineering, Security, and Internal Audit to keep the control environment audit-ready year-round while driving automation that reduces manual testing. This is a hands-on, embedded role with control owners.