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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 LPLFinancialHiring@lplfinancial.com.
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VP, Portfolio Delivery Lead-Compliance, Legal, and Risk

Job ID: R-012187 Date posted: 06/10/2021 Primary Location CA-San Diego Other Locations SC-Fort Mill

LPL Financial is seeking a Compliance, Legal, and Risk (CLR) Portfolio Delivery Lead who will help lead a portfolio of CLR products and programs, and also support the SVP of the Digital Transformation and Product Management (DTPM) office with transformational strategies and initiatives. 

Reporting to the SVP Digital Transformation and Product Management, the role will execute, and oversee multiple project and product efforts aligned to shared business objectives for the Compliance, Legal, and Risk department.  The CLR Portfolio Delivery Lead will also contribute significantly to the efforts of the Digital Transformation and Product Management team by developing and executing strategies that help CLR evolve into an industry leading organization delivering enviable digital functionality and customer experiences.

The ideal candidate will be an excellent leader with experience in managing staff of different disciplines to produce results in a timely manner.  You will also be able to develop efficient strategies and tactics.

Primary Responsibilities will include:

  • Manage a collection of products through the SAFe agile methodology
  • Help identify and lead strategic efforts that span the DTPM organization, partnering closely with the SVP DTPM to drive the Digital Transformation of CLR
  • Establish and maintain effective management and reporting routines that allow the SVP to focus on “risks and metrics that matter”
  • Manage the governance and production of the department’s executive-level dashboard, which includes key performance metrics that provide transparency and a view into our progress towards achieving strategic objectives
  • Establish effective working relationships with all stakeholders and ensure effective portfolio communications
  • Partner with internal stakeholders to support Intake, Prioritization, Roadmapping and PI planning for product enhancements and development
  • Provide line management, coaching and guidance to develop the effectiveness of the portfolio team
  • Ensure effective reporting of all products to enable stakeholders, sponsors and management to make appropriate decisions
  • Formulate, organize and monitor inter-connected products and initiatives
  • Support overall DTPM budgeting and reporting activities

Minimum Qualifications:

  • Experience in Agile product management and flows
  • Experience in Digital Transformation efforts, including the transition to Agile from traditional waterfall organizations
  • Experience working on strategy and operations projects in Management Consulting or in-house strategy organizations
  • Excellent communication and problem-solving ability
  • 8+ years of experience
  • Excellent leadership and communication skills to include verbal, written and presentation
  • 5-10 years’ experience working with business stakeholders within a cross-functional matrix environment
  • 5+ years of experience delivering technology solutions
  • Experience managing a budget of $10M – $50M
  • Thorough understanding of project / program management techniques and methods
  • Experience with Microsoft Office, Planview, JIRA and / or other technology and project management tools

Desired Qualifications:

  • 3-5 years of experience determining customer requirements, defining process measures, identifying root cause, designing process improvements, and measuring outcomes
  • Strong interpersonal skills with the ability to clearly communicate with senior management
  • Ability to deliver on tight deadlines
  • Interpersonal skills to influence, spur change, facilitate, and enhance performance
  • Proven ability to work in an ambiguous environment and collaborate across multiple areas
  • SAFe LPMTM or related certification

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.

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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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