Analyst II, Tech Governance & Assurance

LPL Financial•Fort Mill, SC

1d•$35 - $59•Hybrid

About The Position

We are looking for an experienced IT Risk & Controls professional to join our first line of defense. In this role you will own the day-to-day readiness, testing, and audit facilitation for our IT compliance programs — including SOX, SOC 1, SOC 2, CCPA/CPRA cybersecurity audits, and NYDFS (23 NYCRR 500) attestation. You will partner closely with IT, Engineering, Security, Internal Audit, and external auditors to keep our control environment audit-ready year-round, while driving automation that reduces manual testing effort. This is a hands-on, first-line position: you will be embedded with the control owners, performing self-testing and remediation before controls reach internal audit or external assessors.

Requirements

4+ years of experience in 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).
Demonstrated experience with control testing automation or continuous controls monitoring.
Excellent documentation, organization, and stakeholder-communication skills.

Nice To Haves

Data Analytics or automated control testing experience
Familiarity with data privacy and cybersecurity regulations such as CCPA/CPRA and NYDFS 23 NYCRR 500.
Relevant certifications: CISA, CIA, CISSP, CRISC, or CPA.
Hands-on experience with GRC / audit-automation platforms (e.g., ServiceNow GRC, Archer).
Scripting/data skills for automation (SQL, Python, Alteryx, or Power BI).
Experience in internal audit or Big four accounting firm.
Prior experience in the financial services or banking.

Responsibilities

Serve as the primary coordinator for SOC 1, SOC 2, and SOX audits — managing PBC (Provided-by-Client) request lists, evidence collection, walkthrough scheduling, and auditor Q&A.
Act as the liaison between control owners and external auditors/service auditors, ensuring timely, complete, and accurate responses.
Track audit findings, exceptions, and management responses through to remediation and closure.
Perform first-line risk assessments and control self-testing across IT General Controls domains, including logical/privileged access management, change management, SDLC, computer operations (backup, job scheduling, incident management), and data management.
Identify control gaps and design deficiencies proactively, and work with owners on remediation plans before formal audit periods.
Maintain control narratives, risk-and-control matrices (RCMs), and evidence repositories.
Support CCPA/CPRA cybersecurity audit requirements, mapping controls to applicable privacy and security obligations.
Prepare and support the annual NYDFS (23 NYCRR 500) certification/attestation process, including evidence gathering and compliance validation.
Keep control frameworks aligned to evolving regulatory and industry requirements.
Design and implement control testing automation and continuous controls monitoring (CCM) to reduce manual sampling and evidence collection.
Build automated evidence pulls, testing scripts, and dashboards using GRC platforms and/or scripting/data tools.
Recommend process and tooling improvements that increase testing coverage and efficiency.