Skip Navigation
Search Our Jobs

Search Our Jobs

Click Here to View All Available Opportunities at LPL Financial

SVP, Chief of Staff (Business Risk Management)

Job ID: R-004329 Date posted: 09/19/2018 Primary Location SC-Fort Mill

LPL is seeking an experienced, results-driven, business-oriented and adaptable risk professional to support the Business Risk Management department within the Compliance, Legal and Risk (CLR) organization as a Senior Vice President, Chief of Staff.  Business Risk Management (BRM) includes all supervision functions and product risk management,

The SVP, Chief of Staff’s primary responsibility will be overseeing day-to-day operations to allow the Head of BRM to focus on strategic priorities and engage with key senior business partners, The role includes identifying key metrics and developing reporting that will identify key risks and the operational health of the organization.  This individual will also be responsible for leading the Quality Control and Oversight and Operational Risk teams. Additionally, the Chief of Staff will also be responsible for tracking projects and holding project owners accountable for their execution.

As a strategist, consultant and implementer, the successful candidate will drive operational excellence within the organization based on the priorities of the Head of Business Risk Management. The person will act as an extension of the head of BRM in order to promote decision making and execution of key projects.  

Essential Functions:

  • Manage and guide the leaders responsible for running all functions covered under the Chief of Staff role
  • Act as an adviser to the department head and key senior business partners
  • Establish and maintain effective management and reporting routines that allow the department to focus on “risks that matter”
  • Coordinate the execution of strategic initiatives and department-wide deliverables
  • Assist the department head in creating department goals and operationalizing the risk business plan
  • Partner with Finance to develop the annual budget that supports the organization’s strategic initiatives
  • Prepare influential executive level presentations to facilitate fact-based business cases, recommendations, and program updates
  • Extension of Head of BRM
  • Bring diverse groups together in order to drive collaborative management


  • Bachelor’s degree preferably in Finance, Business or a related discipline
  • 10+ years’ experience in financial services industry
  • Consulting and/or operations expertise preferred
  • Exceptional project management and organizational skills; a proven “closer”
  • Detail oriented and strong analytical skills
  • A natural and confident leader who can motivate employees
  • Excellent oral and written communication skills; strong executive presence
  • Ability to manage multiple initiatives concurrently in a very fast-paced, entrepreneurial environment
  • Highly collaborative with experience in leading and influencing teams and individuals across lines of business, functional areas and different levels of an organization; courage to hold peers accountable
  • Series 7 and 24 preferred but not required

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.

Sign Up for Email Alerts!

Areas of InterestStay up-to-date about the latest opportunities at LPL Financial! Choose at least one category and/or location from the auto-suggestions and click 'Add' to subscribe.

  • Compliance, Fort Mill, South Carolina, United StatesRemove