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VP, Third Party Risk Management

Job ID: R-007431 Date posted: 08/22/2019 Primary Location SC-Fort Mill

The VP, Third Party Risk Management, is a key hands-on role within LPL Financial’s Compliance, Legal & Risk (CLR) organization, responsible for leading the third party risk management program as it continues its road to maturity. This individual will work closely with leaders in key stakeholder organizations (Information Security, Legal, Internal Audit, Sourcing and Procurement, Business Units) in defining and implementing  LPL’s Third Party strategy which includes a governance structure, policies, processes and procedures, analyzing, selecting and deploying technology tools, and creating reports and metrics with KRIs/KPIs to highlight program risk.  This role requires someone who thrives in a rather flat, fast-moving organization using a risk based approach to develop lightweight processes, and implement creative ideas to make a significant impact.  This individual will also be responsible for ensuring that all third party related company's activities adhere to the necessary rules and regulations, and that the company complies with legal/regulatory statutes and jurisdictions.

Primary Responsibilities:

  • Provide the Third Party Risk Management with strategic direction and define and implement both strategic and tactical initiatives, including a governance structure
  • Lead in the creation and maintenance of policies, standards, and procedures related to Third Party relationships
  • Establish strong partnerships with business lines and corporate functions to ensure effective planning and collaboration on third party risk management related matters, and coordination of efforts between various risk functions and across the company
  • Ensure Third Party Risk Program supports business goals and external regulatory requirements
  • Develop and deliver appropriate training program for Third Party Risk Management matters
  • Keep abreast of emerging business and technology trends that impact Third Party relationships
  • Quantify and communicate, via reports and the use of KRI/KPIs, the impact of Third Party risk to multiple organizations and controls groups, highlighting the relevant likelihood and severity of each risk.  Reports should be suited to appropriate audience


  • 5+ years of experience in vendor risk management or vendor program management supporting a global enterprise
  • Direct experience developing, implementing or managing all or material aspects of a global program and its related components
  • Demonstrated leadership in collaborating, managing and influencing relationships across a broad set of stakeholders and executives
  • Strong strategic thinking, intelligent decision making and process management/delivery capability
  • Results oriented self-starter with ability to organize and lead multiple concurrent priorities while working independently or part of a team in a fast paced environment
  • Demonstrated leadership in collaborating, managing and influencing relationships across a broad set of stakeholders and executives
  • Financial Services industry experience and knowledge of organization hierarchies and related functions and processes a plus

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