Senior Technology Risk Analyst

2 weeks ago


Tempe, Arizona, United States LPL Financial Full time
Are You Ready to Make an Impact?
At LPL Financial, we are on the lookout for a dedicated and knowledgeable Senior Analyst to enhance our Technology and Product Risk Governance initiatives.

As a pivotal member of our team, you will be instrumental in recognizing, evaluating, and alleviating risks linked to our financial offerings, services, and technological frameworks.

Key Responsibilities:
• Cultivate and maintain strong relationships with technology and product stakeholders.
• Foster a collaborative environment with auditors.
• Organize and lead meetings, ensuring key discussions and action items are documented.
• Validate initial audit findings and assist in root cause analysis and impact evaluations.
• Collaborate with Technology control owners to establish Management Action Plans (MAPs) for addressing audit findings.
• Identify potential risks related to both new and existing financial products.
• Employ both quantitative and qualitative techniques to assess risk exposure.
• Formulate and implement robust risk mitigation strategies and controls.
• Work alongside cross-functional teams to develop and execute comprehensive risk management plans.
• Continuously monitor the effectiveness of risk mitigation efforts and make necessary adjustments.
• Keep abreast of risk levels and emerging threats within the product portfolio.
• Prepare detailed risk reports and presentations for senior leadership and regulatory entities.
• Ensure accurate and current documentation of risk management activities.
• Provide insightful risk-related recommendations to senior management and product teams.
What We Seek:
We are looking for individuals who excel in collaboration and are committed to delivering exceptional client experiences.

The ideal candidate thrives in a dynamic environment, is client-focused, team-oriented, and possesses the ability to execute in a manner that promotes creativity and continuous improvement.

Qualifications:
• Bachelor’s degree in information systems or a related discipline, or equivalent experience.
• A minimum of 4 years in a technology risk or audit-related capacity.
• Familiarity with attestation engagements (Sarbanes Oxley, SSAE 16 SOC 1/2).
• Proficient in engaging with all levels of staff and management.
• Strong project management capabilities.
Core Competencies:
• Exceptional verbal and written communication skills.
Preferred Qualifications:
• Certifications such as CRISC, CISA, CISM, or CISSP are advantageous.
• Experience in the financial services sector is preferred.
Why Choose LPL?
At LPL, we are committed to providing objective financial guidance, believing it is a fundamental need for everyone. As the leading independent broker-dealer in the nation, we offer a comprehensive platform of proprietary technology, brokerage, and investment advisory services.

We foster a work environment that nurtures creativity and growth, supported by a responsive leadership team, allowing you to build a career with limitless potential.

Join us in our mission to empower advisors to better serve their clients and make a meaningful difference in the financial landscape.

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