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Manager, Ops Risk Mgmt

Job ID: R-017642 Date posted: 09/10/2021 Primary Location SC-Fort Mill Other Locations CA-San Diego

Job Description:

This position is responsible for working with the VP of the Care Organization Risk Management team in the coordination of diverse reporting processes and methodologies, and creating risk controls throughout the division.  This is inclusive of maintaining the Internal and External Audit support program as well as providing frameworks and structured support for the individual business units within the division.   The role would work closely with various operational and service units throughout the Care Organization, Compliance, Legal, and Risk (CLR), Internal Audit (IA), and other departments within LPL to identify, define and remediate various risk related items.  The role also requires the individual to implement and train managers on various control and risk policies consistent with a rapidly evolving regulatory environment.

Responsibilities Include:

  • Analyzing the control structure within STO
  • Assist in identifying SOX, SSAE18, FICCA, and 17a-5 related issues, and document remediation processes
  • Lead in the creation of consistent and consolidated reporting for all of the Care Organization areas that identify control weaknesses and corresponding management action plans
  • Track and close identified gaps and or potential risk items within each department.
  • Using data analysis to help the business units to develop a more proactive and anticipatory approach to risk management. 
  • Ensure ongoing analysis of risks, vulnerabilities, and market trends.
  • Determine potential impact on the organization’s risk posture
  • Lead in benchmarking effectiveness against industry standards and peer firms
  • Assist with regulatory reviews, collection of data and materials for regulators or IA and assisting the operational departments in gathering requested information in a timely manner.
  • Continually access and identify new risk items
  • Ongoing review and remediation of identified risk items
  • Will work closely with individuals throughout the organization including Technology, IA, and CLR, from staff to senior level to complete the various functions above, providing education (teaching) necessary to enable a culture of controls


  • 6+ years of industry experience (preferably financial services) in several disciplines (operations, internal audit, compliance, risk management, other internal controls)
  • Internal or External Audit experience strongly preferred
  • Knowledge of control environment for SOX, SSAE18, FICCA, and 17a-5 required
  • Ability to aggregate, analyze and interpret control environment related data
  • Ability to manage and lead effectively in an ever changing environment (both corporate and regulatory)
  • Ability to work with and communicate effectively to various levels throughout the organization
  • Ability to leverage others’ expertise and experience in identifying, evaluating and mitigating risks
  • Ability to work independently

Licenses/Certifications Preferred:

  • Series 99 preferred
  • All Microsoft applications, particularly, VISIO, WORD, ACCESS, PowerPoint and Excel

Soft Skills Required:

  • Excellent verbal and written communication skills
  • Personable and reliable self-starter who requires minimal management oversight for day-to-day work responsibilities
  • Strong attention to detail with a pro-active approach to solving and preventing problems
  • Ability to work under pressure/deadlines and manage multiple priorities
  • Ability to interface effectively with various levels of employees
  • Strong time management and organizational skills
  • Highly motivated and able to adapt to changing priorities

We offer a competitive salary and benefits package. Please login or create an account to apply to this position. Principals only. EOE

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.

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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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