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Agent guide: [/agents.md](https://www.wearedevelopers.com/agents.md). --- # IT Risk & Controls professional - **Company:** LPL Financial - **Location:** Charlotte, NC, United States (Remote available) - **Experience:** Experienced - **Salary:** $73,133.0 - $121,950.0 - **Contract:** Permanent contract - **Skills:** Testing (Software), Automation of Tests, Backup Devices, Control Objectives for Information and Related Technology (COBIT), Information Systems, Information Technology Audit, Internet Security, Job Scheduling, Python (Programming Language), Automation of Marketing, Systems Development Life Cycle, Power BI, Information Technology Security Auditing, Software Engineering, SQL Databases, Scripting, IT General Controls (ITGC), Test Scripts, Information Technology, Data Analytics, RSA Archer Platform, Data Management, Servicenow, Alteryx - **Published:** September 30, 2026 - **Apply:** https://www.careerbuilder.com/job-details/analyst-ii-tech-governance-assurance-charlotte-tx--43997be0-2833-4e3e-b82f-01c2bc7006a6 ## About the Role * 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). Core Competencies: * Demonstrated experience with control testing automation or continuous controls monitoring. * Excellent documentation, organization, and stakeholder-communication skills. Preferences: * 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. Please note: This position does not offer work authorization sponsorship now or in the future. Applicants must have valid U.S. work authorization that does not require employer sponsorship., Accounting, Analysis Skills, Auditing, Automation, Banking Services, Brokerage, Business Model, Business Services, Change Management, Communication Skills, Computer Operations, Continuous Improvement, Customer Experience, Customer Relationship Management (CRM), Customer Support/Service, Data Management, Documentation, Embedded Systems, External Audit, Financial Planning, Financial Services, Incident Management, Information Technology & Information Systems, Information Technology/Systems Audit, Internal Audit, Internet Security, Interviewing Skills, Machine Tool, Organizational Skills, Process Improvement, Regulations, Regulatory Compliance, Relationship Management, Reporting Dashboards, Risk Analysis, Risk Management, Sarbanes-Oxley Act (SOX), Scripting (Scripting Languages), Security Auditing, Software Development Lifecycle (SDLC), Software Testing, Team Player, Test Automation, Test Scripts, Testing, Time Management, Wealth Management ## Description 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. Please note: This position does not offer work authorization sponsorship now or in the future. Applicants must have valid U.S. work authorization that does not require employer sponsorship. Responsibilities: Audit Facilitation * 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. First-Line Control Testing (ITGC) * 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. Regulatory & Compliance Programs * 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. Automation & Continuous Improvement * 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. What are we looking for? We're looking for strong collaborators who deliver exceptional client experiences and thrive in fast-paced, team-oriented environments. Our ideal candidates pursue greatness, act with integrity, and are driven to help our clients succeed. We value those who embrace creativity, continuous improvement, and contribute to a culture where we win together and create and share joy in our work.