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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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Senior Risk Assessor- Third Party Risk

Job ID: R-019793 Date posted: 11/23/2021 Primary Location SC-Fort Mill Other Locations CA-Remote , CA-San Diego

Are you looking to continue your third party risk management career?

Excited to learn more? 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 19,000 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 Risk, Performance & Monitoring (RPM) team is located in the new LEED certified Carolinas campus (Fort Mill, SC). As a Senior Third Party Risk Management Assessor, you will assess LPL's third party’s control environments, including escalation and remediation of identified third party issues with line of business partners, while providing robust and challenging insight on business risk, and on the adequacy and effectiveness of the third party’s controls.

RPM's mission is to 1) Deliver sustainable, ethical practices and leadership to enable the selection of external partners to drive the best service, quality, and value for LPL while appropriately mitigating risk. 2) Provide leadership to our business partners through LPLs center-led Vendor Management Program to ensure that any contractual and performance risks are effectively mitigated.

Responsibilities:

  • Perform third party risk assessments by analyzing questionnaires such as third-party engagement profiles and due diligence evaluations.

  • Manage all aspects of complex third party risk assessments that may entail collaboration with cross-functional internal teams.

  • Create comprehensive, articulate and objective reports to effectively communicate and relate security, compliance, or governance-related concepts and controls across a variety of audiences including technical and non-technical audiences.

  • Maintain a current understanding of relevant third party risk management best practices, regulations and Information Security Principles.

  • Develop positive working relationships to maintain an open environment for collaboration, risk identification and remediation

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

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:

  • 3-5 years experience in Third Party Risk Management in financial services or other highly regulated industries
  • Experience using GRC Tools (OneTrust, Archer)
  • Basic security, and regulatory framework knowledge and experience, including, but not limited to: ISO 27001, SIG, SOC reports, as well as Privacy, Compliance, Business Resiliency, Cyber and other risk domains
  • Advanced MS Office skills including Excel, SharePoint, Word and Power Point
  • Strong organizational skills with attention to detail, in order to meet deadlines in an environment of continually changing priorities
  • Ability to work comfortably with incomplete information and deal with ambiguity in a fast-paced environment while maintaining a sense of humor and cheerful attitude
  • Wiliness to travel to supplier locations to perform on-site assessments
  • Ability to adjust priorities and monitor workload to meet SLA’s

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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