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AVP, Risk Management

Job ID: R-002549 Date posted: 04/09/2018 Primary Location CA-San Diego Other Locations SC-Fort Mill


We are searching for an Assistant Vice President (AVP), Risk Management to lead the firm’s centralized risk remediation support and oversight activities.  This individual will be responsible for ensuring risks to the firm are effectively identified, prioritized and resolved.  Specifically, they will:

  • Lead a small team and manage their engagement and performance
  • Maintain oversight of risk management activities across the firm to ensure that risks are effectively reduced to an acceptable level
  • Optimize the processes within their scope of responsibility through innovative change to achieve greater efficiency and quality
  • Provide support to leadership across the firm to build effective risk identification and management processes into their management routines
  • Help prioritize risk reduction activities for the firm so that the most impactful work receives the right focus and makes meaningful progress
  • Create effective insights into the health of risk management activities across the firm


  • Strong leadership, collaboration, problem solving, communication, and organizational skills
  • Experience with financial industry governance, risk, and control frameworks with related certifications ideal
  • Some audit or related industry certifications a plus


  • Bachelor’s degree from four-year College or University


  • 7+ years related experience

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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