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Mike Ngugi
Sr. Analyst, Information Security at LPL Financial
Fort Mill, SC, United States
Details
Experience:
Lead projects that guide partners on company policies, controls and risk governance.
Ensure software, governance and processes exist to monitor, detect, avert, and react to existing and new technology security threats.
Document project life cycles, including risk assessment and policy exceptions.
Coordinate process improvement methodologies with team members through risk reporting, tracking key trends and defining metrics to measure control efficacy.
Provide project management capabilities by serving as point of contact between audit and technology teams.
Implement logical and analytical reasoning skills along with seasoned judgement and creativity.
Ability to interface and present complex issues effectively to all levels of staff and management.
Perform control validation testing for cybersecurity and privacy regulations.
Coordinate with Auditors to plan scope and prepare risk-to-control mapping.
Ensure work is completed in compliance with regulatory guidelines and internal standards.
Remediate risk findings within Service Level Agreement (SLA) timeframes.
Influence behavior to reduce risk and foster a growing risk management culture across departments.
Delegate work assignments across team members.
Provide weekly report to management on team efforts.
Enhance information security management framework based on National Institute of Standards and Technology (NIST).
Map SOC 2 controls and ensure availability of required evidence for audit readiness.
Ensure technology controls and policies are implemented across departments as well as tracking these efforts in Enterprise Risk Management System.
Evaluate and report on control deficiencies, plan and document remediation with stakeholders.
2019 : Present
LPL Financial
Sr. Analyst, Information Security
Onboarded new and existing applications to Identity & Access Management (IAM) department.
Provisioned and terminated staff access.
Provided quality control by running test scripts for new advisor business onboarding.
Executed UAT testing of access management processes prior to product release.
Conducted proactive research and identified opportunities to mitigate risk.
Provided internal audit results of controls and documented policies.
Ran reports of completed and pending tasks to capture progress made.
Ensured SLA’s are met and developed improvement plans.
Liaised with business and technology teams in application design and implementation.
Performed recertifications for application ownership, user access roles and entitlements.
2018 : 2019
LPL Financial
Analyst, Information Security
Executed prompt and exceptional support to clients on escalated issues.
Provided Subject Matter Expert (SME) capabilities to stakeholders.
Trained and mentored technical support representatives to increase client call satisfaction rates.
Monitored queue coverage to maximize agent availability.
Participated in back-up support during high call volume periods.
Delivered key comprehensive incident documentation in tracking platform.
Conducted interviews of new hires.
2014 : 2018
LPL Financial
Technical Support Lead
Resolved advanced technical issues originating from internal software products.
Coordinated tracking of work tasks and assignments with project teams.
Managed team scheduling, data requests, and project meetings.
Collaborated with QA and Development teams on software debugging and testing.
Reviewed and provided documentation prior to release of new and enhanced products.
Delivered training and support to technical support teams.
2012 : 2014
LPL Financial
Sr. Technical Support Representative
Provided technical support across platforms for internal and external clients.
Researched and resolved escalated client issues.
Developed team productivity reports and rolled up results to management.
Collaborated with team members on process improvement implementation.
Onboarded new team members and provided supervision to junior staff members.
2007 : 2012
LPL Financial
Technical Support Representative
Ensure software, governance and processes exist to monitor, detect, avert, and react to existing and new technology security threats.
Document project life cycles, including risk assessment and policy exceptions.
Coordinate process improvement methodologies with team members through risk reporting, tracking key trends and defining metrics to measure control efficacy.
Provide project management capabilities by serving as point of contact between audit and technology teams.
Implement logical and analytical reasoning skills along with seasoned judgement and creativity.
Ability to interface and present complex issues effectively to all levels of staff and management.
Perform control validation testing for cybersecurity and privacy regulations.
Coordinate with Auditors to plan scope and prepare risk-to-control mapping.
Ensure work is completed in compliance with regulatory guidelines and internal standards.
Remediate risk findings within Service Level Agreement (SLA) timeframes.
Influence behavior to reduce risk and foster a growing risk management culture across departments.
Delegate work assignments across team members.
Provide weekly report to management on team efforts.
Enhance information security management framework based on National Institute of Standards and Technology (NIST).
Map SOC 2 controls and ensure availability of required evidence for audit readiness.
Ensure technology controls and policies are implemented across departments as well as tracking these efforts in Enterprise Risk Management System.
Evaluate and report on control deficiencies, plan and document remediation with stakeholders.
2019 : Present
LPL Financial
Sr. Analyst, Information Security
Onboarded new and existing applications to Identity & Access Management (IAM) department.
Provisioned and terminated staff access.
Provided quality control by running test scripts for new advisor business onboarding.
Executed UAT testing of access management processes prior to product release.
Conducted proactive research and identified opportunities to mitigate risk.
Provided internal audit results of controls and documented policies.
Ran reports of completed and pending tasks to capture progress made.
Ensured SLA’s are met and developed improvement plans.
Liaised with business and technology teams in application design and implementation.
Performed recertifications for application ownership, user access roles and entitlements.
2018 : 2019
LPL Financial
Analyst, Information Security
Executed prompt and exceptional support to clients on escalated issues.
Provided Subject Matter Expert (SME) capabilities to stakeholders.
Trained and mentored technical support representatives to increase client call satisfaction rates.
Monitored queue coverage to maximize agent availability.
Participated in back-up support during high call volume periods.
Delivered key comprehensive incident documentation in tracking platform.
Conducted interviews of new hires.
2014 : 2018
LPL Financial
Technical Support Lead
Resolved advanced technical issues originating from internal software products.
Coordinated tracking of work tasks and assignments with project teams.
Managed team scheduling, data requests, and project meetings.
Collaborated with QA and Development teams on software debugging and testing.
Reviewed and provided documentation prior to release of new and enhanced products.
Delivered training and support to technical support teams.
2012 : 2014
LPL Financial
Sr. Technical Support Representative
Provided technical support across platforms for internal and external clients.
Researched and resolved escalated client issues.
Developed team productivity reports and rolled up results to management.
Collaborated with team members on process improvement implementation.
Onboarded new team members and provided supervision to junior staff members.
2007 : 2012
LPL Financial
Technical Support Representative
Company:
LPL Financial
About
Seeking a Business Information Security Officer role, where my skills and knowledge can be used and expanded to deliver quality solutions, that result in improving business needs, while meeting company goals and objectives.
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