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VP, Govn, Risk & Compliance

Job ID: R-004084 Date posted: 08/14/2018 Primary Location SC-Fort Mill

VP, Enterprise Risk Management

We are currently looking for a Vice President to join our Enterprise Risk Management (ERM) department, which serves as a second line of defense within the firm's Compliance, Legal, and Risk (CLR) group. 

The VP of Enterprise Risk Management will be responsible for the firm’s risk-based program to identify, assess and appropriately document any operational, market, or credit risk that arises from inadequate or failed internal processes, people, systems or external events.  The VP will work closely with business partners in Internal Audit, Operations, Information Technology, and Compliance, Legal, and Risk.

Essential Functions:

  • Provide the ERM team with a comprehensive set of ERM tools, practices and policies to analyze and report enterprise risks, including the implementation of risk metrics and reports such as  loss events and incidents, key risk exposures and early warning indicators
  • Develop and review key performance indicators/metrics to assist management in the early identification of risk trends
  • Ability to influence and interface effectively with all levels of management
  • Prepare materials and escalate risks to facilitate decision making discussions for relevant management and governance committees; including quarterly reporting, annual reviews and periodic updates of existing risks, controls, and procedures.
  • Provide conceptual thinking and analytical skills with the ability to analyze complex problems that include interrelationships and dependencies in order to identify common themes and solutions
  • Identify and assess enterprise and emerging risk issues and assigns risk ratings consistent with established policy standards.
  • Work with assigned business units and provide operational risk expertise and consulting for projects and initiatives.
  • Be the primary advocate, subject matter expert, and resource for the organization with respect to ERM-specific policies and procedures and assist with the creation of training or support, as deemed necessary, to various stakeholders in order to drive awareness and understanding of enterprise-wide risk.
  • Escalate significant risk issues to the appropriate risk committee and monitor corrective actions to address issues, where needed.


  • At least 4+ years of financial services industry and risk management experience required, preferably in a risk, audit, or compliance role.
  • Experience in preparing and presenting materials to an executive level audience.
  • Excellent written and verbal communication, document editing and storyboarding skills.
  • Workingknowledge of FINRA and SEC rules
  • Requires minimal management oversight for day-to-day responsibilities
  • Strong project management skills, with the ability to effectively manage several projects at once and identify and implement process improvements.
  • Strong organizational skills and attention to detail in a rapidly changing environment.
  • Bachelor's degree in a related field; advanced degree a plus.  Must hold a relevant certification to the position such as Certified Risk Manager (CRM), Certified Financial Services Auditor (CFSA), Certified Internal Auditor (CIA), etc.

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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  • Compliance, Fort Mill, South Carolina, United StatesRemove