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AVP, Risk Management

Job ID: R-014787 Date posted: 05/24/2021 Primary Location CA-San Diego Other Locations SC-Fort Mill , CA-Remote

Do you have a passion for …

Identifying inefficiencies across organizations and finding creative solutions to improve them?

Would you like to …

Facilitate organizational change through building a new team and implementing a Risk Framework?

Have you …

Worked in risk management or 2nd line change and wanted to be a part of developing a fresh approach to enterprise risk management?

Excited to learn more? If so, then this could be the role for you! 

Job overview:

The AVP 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 events.  The AVP will also be responsible for assisting the VP in discharging risk management responsibilities including liaising across corporate functions and key business partners such as Product, Operations, Compliance, Legal, Technology, and Internal Audit. The candidate should understand and be able to apply the intricacies of risk assessment and how to quantify the expected outcome of various risk types.

What will you do?

  • Take ownership of risk relationships with senior business stakeholders and bring them along a risk journey to embed a new risk framework
  • Conduct risk assessments from Risk and Control Self Assessments, to KRI analysis, and deep dives
  • Produce and support the production of materials for senior-level risk and governance committees
  • Support the business in open issues management

Please note: Additional responsibilities or duties may be assigned to you as needed or determined.

What does your success look like in the first 90 days?

Success at the 90 day mark for this role entails taking ownership for risk liaison responsibilities for one or more business units.  Three months in a new hire should be knowledgeable with historic issues in their assigned space, conversant in the status of associated remediation plans, comfortable advising on and supporting top down risk assessments or RCSAs for their area, and able to support other BAU risk activities as they arise. 

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

What skills, experiences, and education are required?

  • 5+ years of experience in enterprise risk management, or similar discipline (e.g., Internal Audit, compliance department, financial services change management, financial services regulatory body) with demonstrated career progression
  • Strong analytical skills, both quantitative and qualitative, with high attention to detail and accuracy; the candidate should have experience working with data sets in Excel and/or Access and preferably have written macros previously
  • Capable of taking a project from idea to execution with minimal oversight
  • Ability to identify inefficiencies across the firm and recommend creative solutions to the issues
  • Ability to develop a strong opinion and defend it against challenge

About CLR

The Compliance, Legal & Risk (CLR) team is focused on delivering an industry-leading client service and risk management experience by providing advisors and our internal business partners with proactive guidance, advice, advocacy and consultative partnerships.

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.

Want to hear from our employees on what it’s like to work at LPL?  Watch this!

We take social responsibility seriously. Learn more here

Want to see info on our benefits?  Learn more here

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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