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VP, Technology Resiliency

Job ID: R-024525 Date posted: 07/19/2022 Primary Location SC-Fort Mill Other Locations TX-Austin , NC-Remote , SD-Remote ,TX-Remote

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!

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 18,000 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 personalized 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.

Job Overview:

Reporting to the SVP of Technology Operations, the Technology Resiliency Leader is responsible for managing and driving the Disaster Recovery Program ensuring timely and effective alignment to the enterprise resiliency strategic vision and program requirements, with specific focus on oversight, leadership and maturation of the disaster recovery infrastructure and application planning and testing program.  Additionally, the Technology Resiliency Leader will develop and execute actionable plans and initiatives to improve the Technology business unit’s business continuity processes and controls, including the timely and accurate documentation of Technology’s business impact analyses (BIAs), risk assessments, Business Continuity Plans (BCPs), resiliency testing, BIA and BCP quality reviews, and technology service provider/supplier resiliency assessments

Responsibilities:

Technology Resiliency – Disaster Recovery (DR) Program:

  • Support, execute and contribute to enhancements of the enterprise business resiliency policy, strategies, plans and playbooks ensuring alignment to regulatory requirements (FINRA, OCC, SEC, FFIEC, NIST, etc.);
  • Document, implement and maintain LPL Financial’s Disaster Recovery Program procedures, standards and controls consistent with policy, continuously reviewing current program processes and identify opportunities to simplify and automate where possible
  • Lead the execution of the disaster recovery lifecycle, including infrastructure/application impact analysis, disaster recovery plan documentation, testing and reporting
  • Ensure disaster recovery testing is scheduled, staffed, executed and documented, including lessons learned, gap identification and remediation and timely closure of disaster recovery and technology resiliency risk issues
  • Facilitate and/or participate in regulatory mandated annual BCDR testing (e.g. SIFMA), and joint supplier and service provider disaster recovery testing.
  • Proactively engage to provide guidance and oversight to ensure technical resiliency needs for new IT infrastructure, applications, and services align to business requirements
  • Collaborate with enterprise architecture and development teams to architect applications for high availability and resiliency
  • Collaborate with Information Security to support development of advanced cyber-attack and ransomware mitigation strategies
  • Collaborate with the Service Delivery team to integrate DR processes with day-to-day Technology Operations (e.g. Technology Incident Management, Configuration management, Change Management, sourcing of Technology Service Providers, etc.)

Technology Business Resiliency Lead:

  • Develop, schedule and facilitate resiliency exercises to align the Technology BCP testing program to enterprise resiliency requirements, including tabletop exercises with Technology senior leaders;
  • Perform, review, and challenge resiliency testing results and live event Lessons Learned/Post Mortem assessments to surface gaps and material risks,  analyze and identify root cause for remediation and improvements;
  • Deliver comprehensive business unit resiliency training to this business unit’s Resiliency Coordinators and Recovery Teams to ensure BIA/BCP and incident playbook understanding and preparedness;
  • Provide governance and oversight of critical Technology Third Party vendor resiliency assessments to ensure they meet Technology’s and the firm’s resiliency requirements;
  • Lead Technology business unit (operational) threat monitoring and impact assessment, event response, management, and business unit incident communications at time of event and participate to represent the Technology business unit during firm-wide incident response calls;
  • Provide consultation to Technology leadership during business interruptions that impact the Technology business unit both internally and externally;
  • Proactively self-identify Technology business resiliency risk issues/control gaps, document risks, develop and implement corrective actions and mitigating controls; and
  • Drive, facilitate and proactively manage the Technology business unit’s on time end-to-end process-centric Business Impact Analysis (BIA) and BCP documentation, maintenance, quality review, and approval processes to meet program due dates and quality measures;
  • Oversee resiliency controls execution to ensure effectiveness and testing of Technology BCP recovery strategies 

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.

Requirements:

  • Minimum of 7+ years’ experience in a Disaster Recovery, Technology Resiliency role driving adherence to regulatory and internal, business and/or technology controls
  • Licenses/Certifications: Business Continuity Certification Designation (MBCP, CBCP or BCI equivalent) or successful attainment of CBCP certification within first 6 months as a condition of employment,
  • Familiarity with using and administering BCP planning and incident management tools (preferably Archer, Everbridge, NC4)
  • Demonstrated knowledge of process, risk and controls frameworks e.g. RCSA, NIST CSF, FINRA, Cybersecurity Checklist, US Dept. of Homeland Security Continuity of Operations Planning (COOP), etc.

Core Competencies:

  • Ability to work both independently and collaboratively, prioritize effectively and drive quality, on-time team deliverables
  • Excellent verbal and written communication skills, strong interpersonal relationship building ability, ability to communicate complex technical terms and concepts into lay person language
  • Self-motivated, willingness to take on challenges, coach less experienced team members and adaptability to drive and adopt change
  • Demonstrated ability to assess resiliency gaps and potential risks to firm, propose solutions and implement enhancements 
  • Skilled in project management methodologies

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 @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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