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VP of RIsk and Regulatory Systems

Job ID: R-004063 Date posted: 08/08/2018 Primary Location SC-Fort Mill

Position Summary:

The Technology Product Development within BTS supports various business units by providing critical business systems and technical services.  We are looking for an Technology manager who will be part of the Risk and Regulatory Systems team that is responsible for supporting Business Technology Services.

This role will serve as a technical lead and manager of a development group and will be responsible for developing and supporting enterprise Risk and Regulatory solutions.

Essential Duties and Responsibilities:

• Develop, in partnership with enterprise architecture and other senior managers, and execute on an overall Advsiory strategy
• Application life-cycle management of LPL's data
• Management of analyst and development team responsible for Advisory applications
• Act as one of the key decision makers on what technologies will be used to solve business problems
• Collaborate with enterprise architecture to ensure solutions and platforms are designed with capability and supportability
• Develop positive relationships with business partners to better understand their needs, manage expectations, and deliver value-add solutions
• Provide leadership and guidance in all team development efforts for successful project delivery and application and platform support
• Collaborate with other teams (technical and non-technical) to ensure successful project delivery and adherence to SDLC processes
• Develop and maintain key vendor relationships


• 5+ years in a technical management capacity for a large enterprise with a high performing technical team
• 10+ years of professional software development experience
• Bachelor's Degree in Computer Science, Business Administration, or a related field
• Financial services/brokerage firm experience
• Proven track record in advisory systems
• Experience working with remote teams and offshore vendors
• Experience managing both departmental and project budgets
• Proven ability to manage resource allocations across production support, maintenance, and new development activities
• Experience managing both departmental and project budgets

Skills and Knowledge:

• Expert on advisory systems
• Familiarity with Portia and fiserv is a plus
• Strong verbal and written communication skills with both technical and non-technical audiences
• Experience with DevOps processes
• Experience working within both Agile and Waterfall methodologies
• Broad background of software engineering skills on a variety of technologies, including:
   o Informatica
   o Cube technologies
   o Tibco
   o MS .Net
   o Angular JS
   o Team Foundation Server (TFS)

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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  • Information Technology, Fort Mill, South Carolina, United StatesRemove