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AVP, Risk Governance & Reporting

Job ID: R-019858 Date posted: 01/14/2022 Primary Location CA-Remote Other Locations TX-Austin , SC-Fort Mill

Are you a team player? Are you curious to learn? Are you interested in working in meaningful projects? Do you want to work with cutting-edge technology? Are you interested in being part of a team that is working to transform and do things differently? If so, LPL Financial is the place for you!

LPL Financial is one of the nation's leading financial services companies and a publicly traded company under ticker symbol LPLA.  We support over 18,000 financial professionals—including over 14,000 independent advisors, more than 700 financial institutions, and over 4,000 institutional clearing and technology subscribers. We enable advisors to focus on their clients by reducing the complexity of running their practice and we support their business by offering enabling technology, comprehensive clearing and compliance services, practice management programs and training, and independent research. At LPL, we take care of our advisors, so they can take care of their clients. And Technology is at the center of our mission.

Job Overview:

The Associate Vice President (AVP) of Risk Governance & Reporting will report to the Head of Technology Risk within the Information Security Department. In this role, the candidate will provide the end-to-end oversight of the processes to drive the rapid ingestion, mitigation and reporting of technology risks. Furthermore, the ideal candidate will partner with business and technology stakeholders to effectively assess technology risks, including inherent and residual impacts to ensure risks are mitigated or reduced according to the firm’s risk appetite, mission, and key objectives.

Essential Functions:

  • Oversee all production of routine reports and analysis for technology risks.

  • Plan, drive and review team deliverables to support consistent quality of activities, processes and outputs.

  • Builds relationships and engage frequently with technology leaders.

  • Demonstrate a strong understanding of risk management by navigating challenging conversations with leadership teams and driving risk-based decision making and accountability for those decisions.

  • Establish project management routines that facilitate tracking and reporting progress, status, and risk and issue impacts and remediation plans.

  • Assist with the development of remediation plans; definition and agreement on scope, success criteria, key milestones, deliverables, and relevant evidence of risk mitigation.

  • Identify and develop key technology risk indicators across assigned business units to provide senior management visibility into enterprise technology risks across the organization.

  • Socialize, educate, and facilitate new processes, options and tools across the organization to enhance the firm’s technology risk mitigation/reduction strategies and provide consistent risk communication.

  • Track scheduled activities, milestones and various metrics to be distributed to executives monthly that reflect execution statuses, risks and opportunities of projects within the business’ products and systems.

  • Work collaboratively with organizational teams to document, report and track on findings and risks to firm applications, products, services and tools.

  • Maintain knowledge of current technologies and evolving risks in order to effectively evaluate risk.

  • Promote a culture of risk awareness and reporting.

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.


  • Bachelor's Degree in Information Systems or related field, or equivalent experience

  • 6+ years or more of experience in information security, technology risk or audit related role

  • 5+ years of direct management experience

  • Prior experience with technology-related regulatory requirements and frameworks including FFIEC, COBIT, NIST, ITIL

Core Competencies:

  • Effective verbal and written communication

  • Ability to interface with all levels of staff and management


  • CRISC, CISA, CISM or CISSP certification

  • Project management experience

  • Financial services industry

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 here

Want to see info on our benefits?  Learn more here

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 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 (800) 877-7210.

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