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SVP, Product Risk Management

Job ID: R-012904 Date posted: 02/05/2021 Primary Location CA-San Diego Other Locations SC-Fort Mill

The Senior Vice President of Product Risk Management will serve as the department manager for LPL’s Product Risk Management organization.  This role will report into LPL’s Chief Risk Officer. The Product Risk Management function covers all aspects of product risk management including the planning, designing and implementation of an overall product risk management process in support of LPL’s strategic priorities. 

This role is responsible for developing a dynamic and knowledgeable team who focus on leading and developing the product risk organization in pursuit of LPL’s strategic priorities and managing risk well.  This position is responsible for leading and orchestrating strategic and operational effectiveness through the development of processes, procedures and metrics, strategic planning, financial management, risk oversight, project management and employee engagement.

The Senior Vice President of Product Risk Management will:

  • Develop strong, consultative relationships with business lines responsible for the introduction of new products and initiatives to the LPL platform.
  • Continually engage with key leaders to understand how growth strategies will impact the product platform and risk environment.
  • Take proactive steps in partnership with the business to address risks early in product and program development.
  • Review and approve new products, sponsors and initiatives on the LPL platform.
  • Provide ongoing oversight and risk assessment of products on the LPL platform.
  • Create and maintain robust product risk reporting to identify key product risks for LPL, taking into account changes in the external environment, including macroeconomic, competitive and regulatory developments.
  • Establish product risk controls to identify and escalate key risks.
  • Chair the monthly Executive Product Risk Committee.


  • CFA Charter Required.
  • MBA and CAIA Charterholders viewed favorably.
  • 10+ years of experience in the financial services industry, preferably in wealth management, asset management or product development in either a business or risk capacity.
  • Extensive knowledge of fiduciary principles and continued awareness of changes in the fiduciary landscape, including how those changes impact the risk profile of LPL’s advisory offerings.
  • Extensive knowledge of complex products such as structured products, non-traded REITS, variable annuities, derivatives and alternative investments.
  • Understanding of quantitative risks, including risks created through the use of models and decision tools.
  • Ability to balance risk and reward tradeoffs across a broad spectrum of financial and non-financial risks, including strategic risk.
  • Ability to communicate complex product and service offerings and issues in a concise way to senior leadership.
  • Strong project leadership, written and verbal communication skills.

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 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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