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VP, Enterprise Risk Management

Job ID: R-007603 Date posted: 09/02/2020 Primary Location SC-Fort Mill Other Locations CA-Remote

The VP of Enterprise Risk Management will be responsible for assisting in the identification of emerging firm risks, assessing and appropriately documenting any operational, market, or credit risk that arises from inadequate or failed internal processes, people, systems or external events.  The VP will also be responsible for risk operations which includes liaising across corporate functions and key business partners including Product, Operations, Compliance, Legal, Technology, and Internal Audit. The candidate should understand the intricacies of risk assessment and how to quantify the expected outcome of various risk types.

Essential Functions:

  • Subject matter expertise in all areas of Business Process Management and Risk and Control Self-Assessments including process assessment and design, process mapping and risk assessments consistent with established policy standards, control design, and monitoring and self-assurance/quality testing.
  • Demonstrated ability to lead a team and create an environment where your team members feel included, valued, and supported to do work that energizes them.
  • Proactively provide guidance and oversight to enterprise-wide initiatives with ability to synthesize complex problems and present them to management clearly.
  • Support prioritization, monitoring and management of numerous risk operations initiatives with varying levels of complexity, risk, duration and prioritization
  • Direct the re-development of the risk system relating to the operationalization, reporting, and feedback of the ERM system RSA Archer.
  • Conducts regulatory-compliance and operational-risk reviews to ensure compliance with FINRA and SEC rules.
  • Identify ad-hoc risks through offline function channels and take areas of weakness through risk deep dives with independent insights.
  • Assists management with quarterly reporting, annual reviews and periodic updates of existing risks, controls, and procedures.
  • Evaluates the adequacy and effectiveness of policies, procedures, processes, systems and internal controls. 
  • Develop testing strategies and methodologies to validate control design and operating effectiveness by independently validating and challenging current practices.
  • Analyzes testing results and challenge findings with recommendations and corrective actions.
  • Strong documentation skills, both written and technical, to clearly record critical processes and procedures through the Risk and Control Self-Assessment process.
  • Identifies control weaknesses and develops and tracks ongoing management action plans.
  • Ability to influence and interface effectively with all levels of management across three lines of defense.


  • Bachelor's degree in a related field; advanced degree strongly preferred
  • Demonstrated broker dealer enterprise risk experience with a strong comprehension of frameworks and its interrelatedness to risk reporting
  • Ability to articulate complex concepts in a clear, concise manner
  • 5+ years of experience in enterprise risk management, or similar discipline (e.g., Internal Audit, Legal department) with demonstrated career progression
  • 3+ years of experience in financial services industry with an emphasis on operations and compliance
  • Working knowledge of FINRA and SEC rules and regulations and how they impact a broker dealer
  • Strong analytical skills with high attention to detail and accuracy
  • Excellent verbal and written communication skills with experience in writing reports or presenting to senior management
  • Capable of taking a project from idea to execution with minimal oversight
  • A positive, can-do attitude with a desire to produce value-additive work
  • Ability to develop a strong opinion and defend it against challenge

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.

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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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  • Compliance, Fort Mill, South Carolina, United StatesRemove