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VP, Data Validation

Job ID: R-015386 Date posted: 10/26/2021 Primary Location SC-Fort Mill

Are you a team player? Are you curious to learn? Are you interested in working in meaningful projects? Do you want to work with cutting-edge technology? Are you interested in being part of a team that is working to transform and do things differently? If so, LPL Financial is the place for you!

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

LPL Financial (Nasdaq: LPLA) was founded on the principle that the firm should work for the advisor, and not the other way around. Today, LPL is a leader* in the markets we serve, supporting more than 19,000 financial advisors, 800 institution-based investment programs and 450 independent RIA firms nationwide. We are steadfast in our commitment to the advisor-centered model and the belief that Americans deserve access to objective guidance from a financial advisor. At LPL, independence means that advisors have the freedom they deserve to choose the business model, services, and technology resources that allow them to run their perfect practice. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors, so they can take care of their clients.

The Vice President, Data & Model Validation, is responsible for contributing to the Firm’s risk mitigation efforts by establishing and operating an independent data validation program.  This program will support the model validation program while also providing data testing and control evaluation services in support of other risk and compliance functions. The Vice President is the leader of a team of subject matter experts on data process flow decomposition, control assessment, and testing and will maintain a high level of knowledge, expertise and practice within this capacity.

The Data & Model Validation team is part of LPL's Compliance, Legal, and Risk (CLR) division that supports the organization in monitoring, measuring and managing the company's regulatory and operational risk exposures.  While this role reports to the SVP of Digital Risk, you’ll closely align with partners in technology, compliance and internal audit to plan, coordinate and execute the data and model validation testing activities. 

Essential Functions:

Control Compliance Testing Program Oversight (80%)

  • Establish and staff a program to evaluate data movement and quality controls
  • Establish and staff a program to independently validate the accuracy and completeness of data from source systems through to final output
  • Present data testing results to senior management and obtain management’s plan of action to remediate findings.
  • Evaluate the adequacy of management’s remediation of issues discovered through data validation activities (remediation testing).
  • Clearly communicate the risks associated with control testing failures/gaps to Risk and Technology Leadership

Control Design Consultation (20%)

  • Assist technology partners in data flow mapping activities
  • Advise technology departments on proper location and design of data movement and data quality controls.

Job Requirements:

  • Bachelor’s degree (Accounting, Computer Science or related field preferred)
  • Minimum of 8 years of experience with at least 5 years spent focused on data validation in a regulated industry, preferably financial services
  • Demonstrated experience performing data lineage testing in support of a model validation program
  • Deep knowledge of information technology architecture, database schemas and programming languages (e.g. data lake, python, AWS, Tableau, etc.)
  • Ability to interact and collaborate well with all levels of the organization, including senior executives, as well as external partners or vendors
  • A proven self-starter who is able to operate in a matrixed environment
  • Experience leading teams
  • Stellar written and oral communication skills
  • Graceful under pressure, resilient, and flexible in the face of change
  • Comfortable working under tight deadlines with ability to deliver quality work quickly, when needed

About CLR

The Compliance, Legal & Risk (CLR) team is focused on delivering an industry-leading client service and risk management experience by providing advisors and our internal business partners with proactive guidance, advice, advocacy and consultative partnerships.

  • Graceful under pressure, resilient, and flexible in the face of change

  • Comfortable working under tight deadlines with ability to deliver quality work quickly, when needed

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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  • Compliance, Fort Mill, South Carolina, United StatesRemove