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SVP, Vendor Risk Management & Identity Access Management

Job ID: R-005290 Date posted: 12/10/2018 Primary Location CA-San Diego Other Locations SC-Fort Mill

LPL Financial is currently looking for a Senior Vice President within its Technology Compliance group, which is a part of the Compliance, Legal and Risk (CLR) organization.  This position is directly responsible for the following:

  • Vendor Risk Management – assess, monitor and manage the risk exposure from third party suppliers that provide products and services to LPL, or have access to enterprise information.  
  • Identity Access Management – execute a compliance framework of policies and procedures to insure that appropriate access is granted to technology resources and enterprise information
  • Data Loss Prevention – execute a compliance framework of policies and procedures to insure that sensitive, confidential or critical information is not sent outside of LPL’s network without the proper controls

Essential Functions:

  • Responsible for developing and implementing a successful compliance second line of defense for each of the control areas including:
    •  establishing policies and process for risk management and oversight
    •  providing guidance and coordination between technology and our business partners
    • identifying  key risks and remediation plans to  
    • manage these risks
    • establishing a testing protocol to insure that the controls for each coverage function operate as designed


  • Bachelor’s degree in a related field, advanced level degree a plus
  • Minimum of 10 years in a risk, internal audit or a compliance control function
  • Series 7 & 24 preferred
  • Possess a strong working knowledge of technology systems and information security controls
  • Have excellent analytical, management, and project management skills
  • Excellent oral and written communications skills with the ability to interact with senior and executive management
  • Demonstrate experience in the design of a successful compliance program
  • Knowledge of S.E.C., FINRA, and other regulatory body rules related to technology and information security
  • Understanding of internal controls and the demonstrated ability to evaluate and determine the adequacy of controls addressing regulatory and business risks
  • Experience with interacting with regulatory authorities

Additional Skills required for the position:

  • Strong leadership skills
  • Strategic thinker with an innovative and customer service oriented mind set
  • 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
  • Exceptional interpersonal and partnership skills and the ability to positively influence outcomes, particularly in difficult matters
  • Strong project management skills, including the ability to prioritize and meet deadlines

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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