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AVP, Govn, Risk & Compliance

Job ID: R-007603 Date posted: 09/09/2019 Primary Location SC-Fort Mill

AVP, Enterprise Risk Management

The AVP of Enterprise Risk Management will be responsible for assisting in the identification of emerging firm risks, assessing and appropriately documenting any operational, market, or credit risk that arises from inadequate or failed internal processes, people, systems or external events.  The AVP will also be responsible for credit risk analysis and will work closely with Credit Risk Management leaders and key business partners including Product, Operations, Compliance, Legal, Technology, and Internal Audit.

Essential Functions:

  • Subject matter expertise in all areas of Business Process Management and Risk and Control Self-Assessments including process assessment and design, process mapping and risk assessments consistent with established policy standards, control design, and monitoring and self-assurance/quality testing.
  • Demonstrated ability to lead a team and create an environment where your team members feel included, valued, and supported to do work that energizes them.
  • Proactively provide guidance to credit and lending staff on credit policy and credit culture to facilitate timely and accurate loan decisioning and portfolio management
  • Support prioritization, monitoring and management of numerous Credit Risk initiatives with varying levels of complexity, risk, duration and prioritization
  • Ensures plans/programs adhere to appropriate Credit Risk policies and regulations, and responds to ad hoc credit risk issues at all levels of the organization
  • Conducts regulatory-compliance and operational-risk reviews to ensure compliance with FINRA and SEC rules.
  • Assists Management with quarterly reporting, annual reviews and periodic updates of existing risks, controls, and procedures.
  • Evaluates the adequacy and effectiveness of policies, procedures, processes, systems and internal controls. 
  • Develops testing strategies and methodologies to validate control design and operating effectiveness.
  • Analyzes testing results and recommends corrective actions.
  • Identifies control weaknesses and develops and tracks ongoing management action plans.
  • Ability to influence and interface effectively with all levels of management

    Qualifications:

  • Bachelor's degree in a related field; advanced degree a plus
  • Credit Risk experience in a financial services environment required
  • Ability to articulate complex concepts in a clear manner
  • Preference that the applicant hold one of the  following licenses or designations; Series 7, 24; Certified Risk Manager (CRM), Certified Financial Services Auditor (CFSA),  Certification in Risk Management Assurance (CRMA), Certified Internal Auditor (CIA)
  • 5+ years of experience in compliance and operational risk management, or similar risk management discipline (e.g., Internal Audit, Legal department for a financial services firm)
  • 3+ years of experience in financial services industry with an emphasis on operations and compliance
  • Working knowledge of FINRA and SEC rules
  • Strong analytical skills with high attention to detail and accuracy
  • Excellent verbal and written communication skills with experience in writing reports or presenting to senior management
  • Requires minimal management oversight for day-to-day responsibilities

About LPL Financial:

LPL Financial is a leader in the retail financial advice market and the nation’s largest independent broker/dealer*. We serve independent financial advisors and financial institutions, providing them with the technology, research, clearing and compliance services, and practice management programs they need to create and grow thriving practices. LPL enables them to provide objective guidance to millions of American families seeking wealth management, retirement planning, financial planning and asset management solutions. LPL and its affiliates have more than 3,700 employees with primary offices in Boston, Charlotte, and San Diego.

Our Culture:

If you join LPL, you will join a culture that believes in delivering a world-class client experience and looks to all employees to contribute to that goal by sharing their creativity, experience, and passion for continuous improvement. As a destination of choice, our top priorities are growth and development, social responsibility, and financial health for our employees. 

We offer competitive compensation and industry leading benefits, including a wellness facility with onsite fitness classes, healthy meal choices, and a walk-in clinic. We support employee financial health through a 401k match, ESPP, and employee discounts. Work/life balance is our foundation and is supported through paid holidays, and paid time off (including time to volunteer). We foster a diverse work environment through Employee Resource Groups and diverse strategic partnerships.  

Join the LPL team and help us make a difference by turning life’s aspirations into financial realities. Please login or create an account to apply to this position. Principals only. EOE

*As reported by Financial Planning magazine, June 1996-2017, based on total revenue.

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Area(s) of InterestChoose at least one job category and/or location.

  • Compliance, Fort Mill, South Carolina, United StatesRemove