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 22,000 financial advisors, 1,100 institution-based investment programs, and 500 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.
Overview:
The Vice President, Enterprise Risk Management will establish and oversee risk governance, including artificial intelligence and other programs to support a strong risk culture that prioritizes risk identification and collaboration across the three lines of defense. The position is responsible for the oversight of the policy framework, AI governance, risk training curriculum, communication plan, and partnership events. Additionally, this role will support the project management of the Enterprise Risk program.
Responsibilities:
- Establish and oversee risk training, communication, and partnership programs
- Oversee model and AI governance
- Produce and support the production of materials for executive level risk and governance committees
- Draft newsletters, program announcements, and other communications and materials
- Coordinate across Risk leads and business stakeholders for ongoing framework consistency
- Adapt to the evolving needs of business partners and changes to the Risk & Compliance organization to assist in progressing the department strategy over time
What are we looking for?
We want
strong collaborators who can deliver a world-class client experience. 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. The role requires someone who can prioritize and manage time and a team effectively, thrives in an ever- changing environment, has a friendly can-do attitude and pays very close attention to detail. We’re not looking for someone to do things the way they’ve always been done, but for someone who utilizes thinking dexterity to develop creative solutions for complex problems. Someone who is curious, innovative, and has high standards and accountability is well-suited for this position.
Requirements:
- 7+ years of financial services experience
- BA/BS degree in Finance, Accounting, Business, or Economics (or a related discipline)
- Prior leadership experience
Core Competencies:
- 7+ years of experience in compliance or risk related roles (e.g., compliance, legal or risk) within financial services, preferably wealth management.
- Strong analytical skills, both quantitative and qualitative, with high attention to detail and accuracy
- Possesses contagious optimism, embraces change, is passionate about continuous learning, excels in fast-paced environments, and has an entrepreneurial mindset
- High emotional intelligence; a collaborative and inclusive approach
- Demonstrated passion for understanding and improving customer or stakeholder impact
- Demonstrated pattern of delivery and execution
- Extensive experience preparing executive-level presentations; formal experience with strategic planning preferred
- Strong analytical skills with proven ability to evaluate business opportunities and results against established objectives
- Expert consensus-builder who drives change within and outside direct accountability; facilitates critical thinking to create solutions for the most complex business challenge
Pay Range:
$146,300.00 - $243,900.00
Actual 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.
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Join 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.