VP, Technology Risk
Have you facilitated organizational change through building a new team and implementing a Risk Framework? Worked in risk management or 2nd line change and wanted to be a part of developing a fresh approach to enterprise risk management?Excited to learn more? If so, then this could be the role for you! LPL Financial (Nasdaq:
LPLA) was founded on the principle that the firm should work for the advisor, and not the other way around.
Today, LPL is a leader in the markets we serve, supporting more than 18,000 financial advisors, 800 institution-based investment programs and 450 independent RIA firms nationwide.
We are steadfast in our commitment to the advisor-centered model and the belief that Americans deserve access to personalized guidance from a financial advisor.
At LPL, independence means that advisors have the freedom they deserve to choose the business model, services, and technology resources that allow them to run their perfect practice.
And they have the freedom to manage their client relationships, because they know their clients best.
Simply put, we take care of our advisors, so they can take care of their clients.
Job Overview:
The Technology Risk Management (TRM) organization is seeking an VP of Technology Risk to manage and lead a team to continued refinement and execution of core elements of the LPL's Technology Risk program.
The VP will drive and own relationships with key stakeholders within the broader Risk & Compliance organization and within the business to design, implement, and execute processes and capabilities that allow LPL to effectively manage its operational risk exposure.
The candidate will manage the business with foundational risk management concepts including but not limited to, the performance of risk assessments, risk reporting, action planning to mitigate risks, and governance committee administration.
Responsibilities:
Partner with other employees within Risk and Compliance and the business to execute core risk management activities, including (but not limited to) ad hoc risk assessments, Risk and Control Self-Assessments (RCSAs), issues management and action planning, and risk reporting.
Act as a primary liaison with business stakeholders to identify, track, report, and continuously manage Technology Risk exposure associated with their day-to-day activities.
Develop the strategy and lead improvement for technology KRIs and presentation materials that distills complex concepts for executive and senior-level management and governance committees.
Manage other Technology Risk related functions such as developing and refining Technology Risk-related policies and procedures, evaluating, reporting, and tracking Key Risk Indicators (KRIs), and driving business-level awareness of ORM-related oversight activities.
Support the business in open issues management, including reporting, escalation (as appropriate) and action planning.
What are we looking for? We want strong leaders who can deliver a world-class client experience by providing a risk management-related lens on business activities.
We are looking for people who thrive in a fast-paced environment, are client focused, team oriented, and are able to execute in a way that encourages creativity and continuous improvement.
Requirements:
Bachelor's degree in a related fieldMinimum of 5 years of management experience15
years of experience in Technology Risk Management or a similar field (e.
g.
, Enterprise Risk Management (ERM), Operational Risk Management (ORM), Internal Audit, Compliance, Regulatory Relations, etc.
) with demonstrated career progression.
Core Competencies:
Experience implementing and executing key elements of an TRM or ERM program such as a risk assessment framework, risk appetite, issues management, risk event reporting, etc.
Experience working within a Governance, Risk, and Control (GRC) system.
Advanced ability to communicate strategically and align disparate teams across the business on risk management concepts and processes.
Experience communicating complex concepts through clear materials for an executive / senior level audience.
Ability to engage on risk management initiatives both at the strategic/design level and tactically through day-to-day execution.
Excellent communication (verbal & written), problem solving, and analytical skillsDetail oriented with insight to determine applicability of big picture analysisReliable self-starter, with a collaborative mindset and ability to build strong relationships across the organizationStrong business acumen with the ability to take complex factors and create relevant, concise summaries to support finance and business unit decisionsExperience building, managing, and motivating a teamFlexible and adaptable to change; ability to work comfortably with incomplete information and deal with ambiguity in a fast-paced environmentClient centric and commitment to identifying opportunities to continually improve the underlying processes & resulting outputPreferences:
Masters degreePay Range:
$132,680-$199,020/yearActual base salary varies based on factors, including but not limited to, relevant skill, prior experience, education, base salary of internal peers, demonstrated performance, and geographic location.
Additionally, LPL Total Rewards package is highly competitive, designed to support your success at work, at home, and at play such as 401K matching, health benefits, employee stock options, paid time off, volunteer time off, and more.
Your recruiter will be happy to discuss all that LPL has to offer!Why LPL? At LPL, we believe that objective financial guidance is a fundamental need for everyone.
As the nation's leading independent broker-dealer, we offer an integrated platform of proprietary technology, brokerage, and investment advisor services.
We provide you with a work environment that encourages your creativity and growth, a leadership team that is supportive and responsive, and the opportunity to create a career that has no limits, only amazing potential.
We are one team on one mission.
We take care of our advisors, so they can take care of their clients.
Because our company is not too big and not too small, you can seize the opportunity to make a real impact.
We are committed to supporting workplace equality, and we embrace the different perspectives and backgrounds of our employees.
We also care for our communities, and we encourage our employees to do the same.
This creates an environment in which you can do your best work.
Want to hear from our employees on what it's like to work at LPL? Watch this!We take social responsibility seriously.
Learn more hereWant to see info on our benefits? Learn more hereJoin the LPL team and help us make a difference by turning life's aspirations into financial realities.
Please log in or create an account to apply to this position.
Principals only.
EOE.
Information on Interviews:
LPL will only communicate with a job applicant directly from an @lplfinancial.
com email address and will never conduct an interview online or in a chatroom forum.
During an interview, LPL will not request any form of payment from the applicant, or information regarding an applicant's bank or credit card.
Should you have any questions regarding the application process, please contact LPL's Human Resources Solutions Center at (855) 575-6947.
SummaryLocation:
Fort Mill/Charlotte; Austin, TXType:
Full time.
Estimated Salary: $20 to $28 per hour based on qualifications.
LPLA) was founded on the principle that the firm should work for the advisor, and not the other way around.
Today, LPL is a leader in the markets we serve, supporting more than 18,000 financial advisors, 800 institution-based investment programs and 450 independent RIA firms nationwide.
We are steadfast in our commitment to the advisor-centered model and the belief that Americans deserve access to personalized guidance from a financial advisor.
At LPL, independence means that advisors have the freedom they deserve to choose the business model, services, and technology resources that allow them to run their perfect practice.
And they have the freedom to manage their client relationships, because they know their clients best.
Simply put, we take care of our advisors, so they can take care of their clients.
Job Overview:
The Technology Risk Management (TRM) organization is seeking an VP of Technology Risk to manage and lead a team to continued refinement and execution of core elements of the LPL's Technology Risk program.
The VP will drive and own relationships with key stakeholders within the broader Risk & Compliance organization and within the business to design, implement, and execute processes and capabilities that allow LPL to effectively manage its operational risk exposure.
The candidate will manage the business with foundational risk management concepts including but not limited to, the performance of risk assessments, risk reporting, action planning to mitigate risks, and governance committee administration.
Responsibilities:
Partner with other employees within Risk and Compliance and the business to execute core risk management activities, including (but not limited to) ad hoc risk assessments, Risk and Control Self-Assessments (RCSAs), issues management and action planning, and risk reporting.
Act as a primary liaison with business stakeholders to identify, track, report, and continuously manage Technology Risk exposure associated with their day-to-day activities.
Develop the strategy and lead improvement for technology KRIs and presentation materials that distills complex concepts for executive and senior-level management and governance committees.
Manage other Technology Risk related functions such as developing and refining Technology Risk-related policies and procedures, evaluating, reporting, and tracking Key Risk Indicators (KRIs), and driving business-level awareness of ORM-related oversight activities.
Support the business in open issues management, including reporting, escalation (as appropriate) and action planning.
What are we looking for? We want strong leaders who can deliver a world-class client experience by providing a risk management-related lens on business activities.
We are looking for people who thrive in a fast-paced environment, are client focused, team oriented, and are able to execute in a way that encourages creativity and continuous improvement.
Requirements:
Bachelor's degree in a related fieldMinimum of 5 years of management experience15
years of experience in Technology Risk Management or a similar field (e.
g.
, Enterprise Risk Management (ERM), Operational Risk Management (ORM), Internal Audit, Compliance, Regulatory Relations, etc.
) with demonstrated career progression.
Core Competencies:
Experience implementing and executing key elements of an TRM or ERM program such as a risk assessment framework, risk appetite, issues management, risk event reporting, etc.
Experience working within a Governance, Risk, and Control (GRC) system.
Advanced ability to communicate strategically and align disparate teams across the business on risk management concepts and processes.
Experience communicating complex concepts through clear materials for an executive / senior level audience.
Ability to engage on risk management initiatives both at the strategic/design level and tactically through day-to-day execution.
Excellent communication (verbal & written), problem solving, and analytical skillsDetail oriented with insight to determine applicability of big picture analysisReliable self-starter, with a collaborative mindset and ability to build strong relationships across the organizationStrong business acumen with the ability to take complex factors and create relevant, concise summaries to support finance and business unit decisionsExperience building, managing, and motivating a teamFlexible and adaptable to change; ability to work comfortably with incomplete information and deal with ambiguity in a fast-paced environmentClient centric and commitment to identifying opportunities to continually improve the underlying processes & resulting outputPreferences:
Masters degreePay Range:
$132,680-$199,020/yearActual base salary varies based on factors, including but not limited to, relevant skill, prior experience, education, base salary of internal peers, demonstrated performance, and geographic location.
Additionally, LPL Total Rewards package is highly competitive, designed to support your success at work, at home, and at play such as 401K matching, health benefits, employee stock options, paid time off, volunteer time off, and more.
Your recruiter will be happy to discuss all that LPL has to offer!Why LPL? At LPL, we believe that objective financial guidance is a fundamental need for everyone.
As the nation's leading independent broker-dealer, we offer an integrated platform of proprietary technology, brokerage, and investment advisor services.
We provide you with a work environment that encourages your creativity and growth, a leadership team that is supportive and responsive, and the opportunity to create a career that has no limits, only amazing potential.
We are one team on one mission.
We take care of our advisors, so they can take care of their clients.
Because our company is not too big and not too small, you can seize the opportunity to make a real impact.
We are committed to supporting workplace equality, and we embrace the different perspectives and backgrounds of our employees.
We also care for our communities, and we encourage our employees to do the same.
This creates an environment in which you can do your best work.
Want to hear from our employees on what it's like to work at LPL? Watch this!We take social responsibility seriously.
Learn more hereWant to see info on our benefits? Learn more hereJoin the LPL team and help us make a difference by turning life's aspirations into financial realities.
Please log in or create an account to apply to this position.
Principals only.
EOE.
Information on Interviews:
LPL will only communicate with a job applicant directly from an @lplfinancial.
com email address and will never conduct an interview online or in a chatroom forum.
During an interview, LPL will not request any form of payment from the applicant, or information regarding an applicant's bank or credit card.
Should you have any questions regarding the application process, please contact LPL's Human Resources Solutions Center at (855) 575-6947.
SummaryLocation:
Fort Mill/Charlotte; Austin, TXType:
Full time.
Estimated Salary: $20 to $28 per hour based on qualifications.
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