AVP, Risk Management

Lead with Purpose, Unlock Your Team’s Passion

At LPL, people leaders hold the key to the employee experience — shaping culture, driving performance, and guiding individuals to new heights. Because when that happens, we all win – clients, LPL, and most importantly our, employees.

If you're ready to lead with intention and discover what’s possible, LPL Financial invites you to apply today.

Job Overview:

The AVP, Risk Management will lead the development of programs and processes to ensure the appropriate oversight and reporting of the firm’s key risks. The position is responsible for the creation and ongoing maintenance of the policy management and committee governance frameworks. Additionally, the role will define training, communication, and other programs to support a strong risk culture that prioritizes risk identification and collaboration across the three lines of defense.

Responsibilities:

• Establish and oversee policy management and committee governance frameworks
• Establish governance templates, standards, and roles and responsibilities
• Define change management process for committee charters and policies
• Create communication plan for new program requirements
• Perform inventory and gap assessment of policies and committee charters and partner with stakeholders to remediate
• Establish and manage Risk training program
• Develop approach and standards for communications and partnership events
• Project manage Enterprise Risk Management program implementation

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.

Requirements:

• 7+ years of financial services or related experience
• BA/BS degree in Finance, Accounting, Business, or Economics (or a related discipline)

Core Competencies:

• Ability to take a project from idea to execution with minimal oversight
• Proactive problem solver, expected to present problems and recommendations simultaneously
• Ability to work comfortably with incomplete information and deal with ambiguity in a fast-paced environment
• Project management background, with the ability to organize and manage multiple priorities
• Attention to detail
• Microsoft Office Excel and PowerPoint skills
• Written communication skills
• Demonstrated work ethic and organizational skills
• Analytical thinking and problem-solving skills

 

Pay Range:

$106,528-$177,546/year

 

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!

 

Company Overview:

LPL Financial Holdings Inc. (Nasdaq: LPLA) is among the fastest growing wealth management firms in the U.S. As a leader in the financial advisor-mediated marketplace(6) , LPL supports over 32,000 financial advisors and the wealth management practices of approximately 1,100 financial institutions, servicing and custodying approximately $2.3 trillion in brokerage and advisory assets on behalf of approximately 8 million Americans. The firm provides a wide range of advisor affiliation models, investment solutions, fintech tools and practice management services, ensuring that advisors and institutions have the flexibility to choose the business model, services, and technology resources they need to run thriving businesses. For further information about LPL, please visit www.lpl.com.

At LPL, independence means that advisors and institution leaders have the freedom they deserve to choose the business model, services, and technology resources that allow them to run a thriving business. They have the flexibility to do business their way. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors and institutions, so they can take care of their clients.

For further information about LPL, please visit