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The health and safety of our employees and candidates is very important to us. Due to the current situation related to the Novel Coronavirus (COVID-19), we’re leveraging our digital capabilities to ensure we can continue to recruit top talent at LPL Financial.As your application progresses, you may be asked to use one of our digital tools to help you through your recruitment journey. If so, one of our recruiters will explain what type of interviewing technology will be used throughout the recruitment process and will be on hand to answer any questions that you have. You can also email us at
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Third Party Risk Assessor

Job ID: R-019794 Date posted: 11/23/2021 Primary Location CA-San Diego Other Locations SC-Fort Mill , CA-Remote

The candidate will be responsible for performing comprehensive due diligence on third parties located both domestically and offshore. This due diligence involves assessing various risk domains while onsite at the third party’s location(s) including: information security, financial viability, business continuity, compliance objectives, offshore risks and contractual risks.

Prior knowledge in any of the following areas is beneficial: third party risk management, procurement, business continuity/disaster recovery planning, SOC reports, information security, company financial documents and privacy policies.

Essential Functions:

  • Facilitate onsite assessments with third party subject matter experts
  • Partner with colleagues across multiple business units to help drive completion of assigned third party risk assessments from scheduling, execution and remediation
  • Develop positive working relationships to maintain an open environment for collaboration, risk identification and remediation
  • Work with business units to ensure third parties are assessed and are compliant with Third Party Risk & Due Diligence processes
  • Produce fact based assessment reports to be delivered to business unit leaders outlining each Third Party’s compliance with enterprise Information Security and Business Continuity program standards
  • Influence the business units to drive implementation of improvements with third party controls where needed
  • Participate in formal Third Party Risk & Due Diligence governance routines as needed
  • Maintain a current understanding of relevant third party risk management best practices and regulations

Skills & Qualifications:

  • Bachelor’s degree and 5+ years relevant experience with focus in Risk Management; required
  • Knowledge of information security and risk controls; required
  • Professional Certification in relevant security or risk management designation (e.g. CISA, CISSP, etc.); required
  • Knowledge of Third Party Risk Management or Procurement functions; preferred
  • Experience with financial services or other highly regulated industries; preferred

Additional Skills Required:

  • Ability to forge solid relationships and collaborate with business partners, including the ability to convey complex information / knowledge in an understandable and clear manner
  • Demonstrates ability to analyze information to formulate business recommendations
  • Strong organizational skills with attention to detail, in order to meet deadlines in an environment of continually changing priorities
  • Perform effectively in a dynamic work environment
  • Strong financial and business process analysis and experience
  • Good relationship management skills in order to enforce policies, compliance and drive actions needed by others
  • Manage multiple initiatives concurrently
  • Accomplish goals with broad direction and minimal day-to-day supervision
  • Adapt quickly to changes in business direction that may impact initiatives in progress with minimal noise
  • Excellent written and verbal skills, conveys complex and technical concepts with simplicity and clarity


  • 50 % Travel Required

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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