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AVP, Technology Risk

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Job ID R-025311 Date posted 09/07/2022 Primary Location USA-Remote

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!

Excited to learn more? If so, then this could be the role 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 18,000 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 personalized 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:

We are hiring an Associate Vice President, Technology Risk to join our Technology Risk department. This position is responsible for overall Technology Compliance program and will report directly to the Head of Technology Risk. At LPL, Technology Risk is a first line function within the Information Security department.

Responsibilities:

  • Plan, develop and execute an annual goals of technology compliance.

  • Assist in developing and providing metrics for the technology compliance program.

  • Manage a team of professionals. Set vision and direction, manage performance and career development

  • Maintain knowledge of new or changing regulations, guidance and best practices that would impact existing or require new policies, standards and controls.

  • Stay current on emerging cyber threats and risk management approaches.

  • Maintain a positive relationship with internal/external auditors

  • Participate in and execute other special projects for the team on a periodic basis.

  • Perform other duties as assigned

Compliance Responsibilities

  • Develop and maintain an organized, methodical documentation system for communicating, implementing, and managing compliance with new and existing regulatory (e.g. NYDFS, FFEIC, GBLA) requirements.

  • Oversee SSAE 18 SOC 2 attestation activities including but not limited to mapping of control, status updates, cross-department coordination, reporting writing and report issuance

  • Support activities of Information Technology internal and external auditors for attestation engagements (e.g. Sarbanes Oxley, SOC 1, FICCA and SEC 17a-5)

  • Collaborate with various IT departments on preliminary attestation engagement findings to validate findings and determine root cause analysis and impact assessments

  • Coordinate with regulators ensuring they are connecting with the correct Technology members and receiving requests for evidence

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.

Requirements:

  • Bachelor's Degree in Information Systems or related field, or equivalent experience

  • 6+ years or more of experience in information security, technology risk or audit related role

  • 5+ years of direct management experience

  • Experience with technology-related regulatory requirements and frameworks including Sarbanes Oxley, SOC I, SOC II, FICCA, FFIEC and NYDFS

Core Competencies:

  • Knowledge of core requirements for COBIT, NIST, and ITIL

  • CRISC, CISA, CISM or CISSP certification, a plus

  • Project management experience highly desired

  • Effective verbal and written communication

  • Ability to interface with all levels of staff and management

  • Financial services industry experience preferred

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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Video Called We are LPL

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employees on what it's like to work at lpl?

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We take social responsibility seriously.

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Want to see info on our benefits?

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