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The health and safety of our employees and candidates is very important to us. Due to the current situation related to the Novel Coronavirus (COVID-19), we’re leveraging our digital capabilities to ensure we can continue to recruit top talent at LPL Financial.As your application progresses, you may be asked to use one of our digital tools to help you through your recruitment journey. If so, one of our recruiters will explain what type of interviewing technology will be used throughout the recruitment process and will be on hand to answer any questions that you have. You can also email us at LPLFinancialHiring@lplfinancial.com.
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AVP, Finance Risk Governance & Controls

Job ID: R-015875 Date posted: 06/28/2021 Primary Location SC-Fort Mill

Generate Interest:

Are you a solution-oriented and passionate professional focused on adding value, improving processes/controls/systems, and championing risk management? Are you interested in being part of a team that is working to transform and do things differently? If so, then this could be the role 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 Finance organization at LPL is seeking an Assistant Vice President of Finance Risk Governance & Controls to establish and execute an operational risk management, governance and controls oversight program. You will work with stakeholders across Finance and the broader organization to drive effective governance, proactively mitigate risk, advocate for the design of strong controls and the management and mitigation of issues that impact the business.

Responsibilities:

  • Develop and execute the Finance-wide risk and controls self-assessment program
  • Oversee one or more team members in the execution of risk and control management activities
  • Partner with Internal Audit to execute the SOX and 17a-5 compliance program, including risk assessment, scoping, walkthroughs, testing, certifications, and issue evaluation and remediation
  • Investigate, analyze and determine resolution for risk and control related matters impacting Finance, including remediation of issues and control deficiencies
  • Execute risk-based reviews and control testing programs including financial, compliance and regulatory components and develop recommendations for improvements
  • Develop and execute risk and control change management projects for key process/system initiatives to ensure effective governance and controls during the initiative and at “go live”
  • Partner with the Risk organization to mature the risk governance framework across LPL
  • Support risk metrics and risk reporting to governance committees and senior management
  • Drive compliance with risk program requirements in Finance, including but not business continuity planning, policy and procedure maintenance, records management and vendor oversight
  • Audit and regulatory exam coordination and support
  • Maintain Finance’s inventory of risks and controls

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.

Requirements:

  • 6+ years relevant experience in public accounting or a combination of public and internal audit experience
  • 2 years+ in financial services with broker-dealer experience preferable
  • Experience with designing and evaluating internal controls and driving strong operational risk management
  • Experience designing and executing risk assessments and process improvement projects with ability to influence senior management to drive change
  • Advanced knowledge of audit and accounting methodologies and principles, data, application, IT general and end user computing controls
  • People management experience
  • Strong analytical and problem solving experience and is a quick learner

Preferences:

  • Certified Public Accountant (CPA) or Certified Internal Auditor (CIA), Certified Information Systems Auditor (CISA)
  • Master’s degree in Finance, Accounting or Business Management
  • Experience with Governance, Risk and Control (GRC) system
  • Experience process mapping using Visio

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.

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 @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 (800) 877-7210.

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  • Compliance, Fort Mill, South Carolina, United StatesRemove