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Vice President, Third Party Risk

Job ID: R-012828 Date posted: 02/04/2021 Primary Location SC-Fort Mill

Are you an experienced leader in third party risk management or vendor program management looking for your next career move?

Do you have experience in financial services or another highly regulated industry?

Excited to learn more? If so, then this could be the role for you!

Job overview

The VP, Third Party Risk (TPR), is a key hands-on role within LPL Financial’s Strategic Sourcing and Procurement (SS&P) team located in the new LEED certified Carolinas campus (Fort Mill, SC). The VP is responsible for growing the third party risk management program as it continues its road to maturity. This individual will work closely with leaders in key stakeholder organizations (Information Security, Legal, Internal Audit, Compliance, Legal, Business Units) in defining and implementing LPL’s Third Party strategy which includes a governance structure, policies, processes and procedures, analyzing, selecting and deploying technology tools, and creating reports and metrics. 

A fundamental component of the role is change management and the ability to lead the transformation of TPR into a strategic partner across the firm. As such, you will provide subject matter expertise and coaching and training to LPL’s business units to drive compliance to the third party risk program and policies. This includes internal education and best practices sharing, continuous improvement methodologies and thought leadership to drive the maturity of the program.

What will you do?

  • The development, implementation and oversight of a Third Party Risk governance structure that ensures that vendors that expose the organization to compliance, credit, information security, offshore, operational, reputational or strategic risk adhere to appropriate controls

  • Lead in the creation and maintenance of policies, standards, and procedures related to Third Party relationships

  • Establish strong partnerships with business units and corporate functions/ stakeholders to ensure effective planning and collaboration on third party risk management related matters

  • Coordination of continuous improvement efforts between various risk functions across the company

  • Ensure the TPR program supports business goals and external regulatory requirements

  • Develop and deliver appropriate training program for Third Party Risk Management matters

  • Keep abreast of emerging business and technology trends that impact Third Party relationships

  • Quantify and communicate, via reports and the use of KRI/KPIs, the impact of Third Party risk to multiple organizations and controls groups, highlighting the relevant likelihood and severity of each risk. Reports should be tailored to the appropriate audience

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

What does your success look like in the first 90 days?

Identifying, and starting to implement, areas of opportunity to strengthen our Third Party Risk Program by leveraging external experience and internal feedback. Building relationships with key stakeholders across the enterprise and establishing a roadmap to drive the program to maturity.

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

What skills, experiences, and education are required?

  • A minimum of 5-7 years of experience in third party risk management or vendor program management within a medium to large enterprise

  • An appropriate 4 year college degree

  • Experience with financial services, or other highly regulated industries; required

  • Experience using GRC tools is desirable

  • Knowledge of Sourcing and Procurement functions desirable

  • Advanced knowledge of third party risk, business continuity/disaster recovery planning, security infrastructure and controls, company financial documents and privacy policies

  • Direct experience developing, implementing and managing all, or material aspects of, a comprehensive third party risk program and its related components

  • Demonstrated leadership in collaborating, managing and influencing relationships across a broad set of stakeholders and executives

  • Strong strategic thinking, intelligent decision making and process management/delivery capability

  • Experience in the establishment, development and communication of business metrics and dashboards, specifically KRI’s and KPI’s

  • Results oriented self-starter with ability to organize and lead multiple concurrent priorities while working independently or part of a team in a fast paced environment

  • Excellent communication, presentation and writing skills

  • Ability to adjust priorities and monitor workload to meet challenging deadline

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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