AVP, Technology and Cybersecurity Compliance

What if you could build a career where ambition meets innovation? At LPL Financial, we empower professionals to shape their success while helping clients pursue their financial goals with confidence. What if you could have access to cutting-edge resources, a collaborative environment, and the freedom to make an impact? If you're ready to take the next step, discover what’s possible with LPL Financial.

Job Overview:

We are seeking an experienced Assistant Vice President who understands the regulatory expectations of the financial services sector, and can demonstrate success in leading regulatory readiness, inquiries, exams, remediation plans and actions across technology and cybersecurity.  This position requires strong partnership across legal, compliance and risk with the ability to converse with technology and cybersecurity subject matter experts. 

Responsibilities:

• Coordinate regulatory activities with key stakeholders including exam readiness, attestation readiness, evidence collection, controls testing, findings and remediation, and reporting.

• Operate across governance risk and compliance team to ensure alignment relative to regulatory requirements and commitments which impact policy, risk remediation timelines, awareness activities, risk assessments, and third-party due diligence.

• Prepare readiness packages, liaison with technology and cybersecurity leaders to understand updated roadmaps and issues, and work with subject matter experts to draft and validate current understanding across the LPL technology and cybersecurity landscape and respond to external inquiries.

• Manage remediation timelines, reporting, and activities for findings that impact regulatory compliance.

• Lead other activities as required including regulatory mapping, policy review, and training.

• Promote a risk aware culture, ensure efficient and effective risk and compliance management practices by adhering to required standard and processes and seeking opportunities to optimize.

• Lead, mentor, and manage team members

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:

• Bachelor’s degree in Business, Technology, Cybersecurity or related field

• 7+ years' experience successfully operating in a governance or compliance role within cybersecurity and/or technology for a highly regulated firm

• Strong understanding of SOC2, 23 NYCRR 500, FINRA, SEC and demonstrated experience successfully leading regulatory activities

• Ability to partner across technology, cybersecurity, audit, legal, compliance, and risk towards joint outcomes

Core Competencies:

• Strong interpersonal and presentation skills, with the ability to convey complex technical concepts to business stakeholders

• Detailed oriented with strong project management and problem-solving skills

• Proven ability to develop team competencies and skills

• Experience with Archer, JIRA, Service Now, Confluence

Preferences:

• Experience working in a financial services environment

• Previous experience adopting and refining regulatory readiness practices including drafting responses to regulatory and third party inquiries about technology and cybersecurity programs and capabilities

• Demonstrated experience in driving remediation efforts to close regulatory or internal audit findings which impact regulatory compliance to closure involving multiple stakeholder groups

• Strong collaboration, bringing in the right people to holistically problem solve while connecting dots to potential systemic issues, dependencies, etc.

• Related technical experience in cybersecurity, product, or technology

#LI-Hybrid

 

Pay Range:

$117,225-$195,375/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 th