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Assistant Vice President, Compliance Risk Assessment (“CRA”) & Testing

Job ID: R-013038 Date posted: 02/22/2021 Primary Location SC-Fort Mill Other Locations CA-Remote

Do you have a passion for developing innovative systems to manage risk?

Would you like to work in a fast-paced and collaborative environment?

Have you executed compliance risk assessments or control design and effectiveness testing?

Excited to learn more? If so, then this could be the role for you! 

The Assistant Vice President, Compliance Risk Assessment (“CRA”) & Testing, is a key member of the Compliance function responsible for assessing compliance risk and evaluating the design and operating effectiveness of control frameworks to mitigate compliance risk. The Role is responsible for supporting execution of the compliance risk assessment and leading engagements to evaluate control design and effectiveness by working collaboratively with compliance subject matter experts across the organization.

Work with compliance subject matter experts to identify, assess, and document compliance risks

  • Evaluate the design and effectiveness of controls to mitigate risks associated with non-compliance with rules, laws and regulation
  • Consult on the development of controls to address control gaps and weaknesses
  • Lead risk-based control assessment and testing engagements  
  • Present testing and risk assessment results to senior management and obtain management’s plan of action to remediate findings
  • Assist with the development and maintenance of risk and process taxonomies for conducting risk assessments

Please note: Additional responsibilities or duties may be assigned to you as needed or determined.

Within 90 days, this candidate should participate in the full lifecycle of a testing engagement and assume the role of leader in testing engagements. Furthermore, the candidate would have collected risk inputs to support the compliance risk assessment, and would be leading risk assessment workshops with subject matter experts across the organization.

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.

  • Undergraduate degree in a related field
  • 5+ years Financial Services industry experience, with significant experience with compliance risk assessments and/or testing. 
  • Knowledge of broker-dealer and investment advisor regulatory obligations
  • Ability to work with and communicate effectively to various levels throughout the organization through regular interaction with Senior and Executive Management across LPL
  • Strong analytical skills with high attention to detail and accuracy

About CLR

The Compliance, Legal & Risk (CLR) team is focused on delivering an industry-leading client service and risk management experience by providing advisors and our internal business partners with proactive guidance, advice, advocacy and consultative partnerships.

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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  • Compliance, Fort Mill, South Carolina, United StatesRemove