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Head of Advisor Security Risk

Job ID: R-016399 Date posted: 09/23/2021 Primary Location CA-San Diego Other Locations TX-Austin , SC-Fort Mill

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 19,000 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 objective 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:

Information Security is essential to what we do at LPL, from protecting our employees, our advisors and their clients. As the Head of Advisor Security Risk you will join a growing organization responsible for securing our Advisors and their clients. In this role, you will lead the Advisor Security Risk team at LPL and be responsible for defining and executing the strategy and roadmap for each Advisor Security Risk functional areas. This includes Third Party Risk Management, Cyber Threat Intelligence and future Advisor risk management and security service offerings.

This position is a technical and people managerial position, in which the ideal candidate will be able to function from not only a people, process, and planning perspective but also be a key contributor to security decisions and initiatives. You will be looked to as a leader in your respective area and responsible for defining, communicating, planning, and executing on Advisor Security Risk goals and objectives.


  • Define and drive the execution of the Advisor Security Risk roadmap, strategy, goals and objectives.

  • Build and manage a team of highly skilled information security and risk management professionals spanning Third Party Risk management, Cyber Threat Intelligence and other Advisor risk management service offerings.

  • Mature program offerings by identifying new or emerging opportunities in the Advisor Security space.

  • Develop new and improve existing processes related to Advisor security risks and mitigations, security policy exceptions and findings on Advisor facing technologies and services.

  • Manage the Branch Office Security Policy exceptions process including intake and review of exceptions, conducting cyber risk assessments, reporting and monthly KPIs.

  • Collaborate with internal and external stakeholders to lead and support Advisor facing security initiatives.

  • Influence LPL internal and external stakeholders on security best practices, risk mitigation techniques and Advisor facing security policies.

  • Provide information security and risk management consulting, recommendations and guidance to business partners on Advisor facing products and initiatives.

  • Support risk assessments on new Advisor technologies and products.

  • Support information security and risk management consulting engagements and providing recommendations and guidance to the business on Advisor facing products and initiatives.

  • Respond to Advisor and LPL Business requests for information; including effectively communicating to advisors and their clients on cyber security related topics, industry best practices, LPL policies and current events.

  • Influence LPL business partners and our advisors to help them understand and adequately mitigate cyber risks.

  • Provide ad hoc support on special Information Security hot topics for the business.

  • Contribute to the development of new Advisor facing information security policies, standards, procedures and guidelines.

  • Manage Advisor Security Risk program effectiveness and provide regular updates and KPIs to executive leadership.

What we are looking for?

  • You have a desire to work in a fast moving, forward leaning and modern financial services environment.

  • You are a demonstrated leader with team-oriented interpersonal skills and the ability to interface effectively with a broad range of people and roles, including business executives, technology and information security leaders, and customers.

  • Ability to clearly articulate and build support for a strategic security vision, as passionate about the 'why' as the 'how'.

  • You have demonstrated cyber risk or relevant experience with the ability to lead technical and strategic security initiatives and projects.

  • Ability to frame and communicate security and risk related concepts to technical and nontechnical audiences at various levels.

  • Demonstrated ability to drive organizational change and work with multiple business stakeholders to effect change and risk culture.

  • You are comfortable developing KPIs and cyber risk metrics and communicating those to executive leadership.

  • Strong executive presence and ability to engage with customers regarding security (e.g. executive briefings and customer facing communications).


  • Bachelor’s degree in information security, technology or related discipline.

  • 10+ years of experience in information security/technology related role, preferably leading a technical team of security or risk professionals.

  • Knowledge of current and emerging cybersecurity risks, risk management methods and solutions.

  • Familiar with industry frameworks and regulations  (i.e. NIST CSF, ISO, FINRA)


  • Relevant information security certifications a plus (CISSP, CCSP, CISM)

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 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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