VPII, Enterprise Risk Management

Vice President II

We are seeking a Vice President II to join our Enterprise Risk Management (ERM) team. In this role, the VPII will oversee and manage the firm's risks across all areas, ensuring alignment with the organization's strategic goals and objectives. Responsibilities include identifying, assessing, and mitigating risks, as well as developing and implementing a comprehensive Enterprise Risk Management (ERM) framework. The VPII will collaborate closely with business partners in Internal Audit, Operations, Information Technology, Compliance, Legal, and Risk.

This position is located in office working at least three days a week and is not remote eligible.

Responsibilities

• Develop and implement an ERM framework including establishing policies, procedures, and methodologies for risk identification, assessment and mitigation.
• Analyze potential risks across various business areas, including financial, operational, legal and reputational risks.
• Develop and implement risk treatment plans, monitor risk levels, and ensure that risks are managed within the organization's risk appetite.
• Prepare comprehensive reports to executive leadership and the board of directors, ensuring accurate and timely communication of key metrics, strategic initiatives, and organizational performance.
• Communicate risk-related data, information and insights to senior management, boards, and other stakeholders, and develop comprehensive reports on risk management activities.
• Create and present materials to highlight risks, facilitating decision-making discussions for relevant management and governance committees. This includes preparing quarterly reports and providing periodic updates on existing risks and procedures.
• Ensure that the organization complies with relevant regulations and industry standards related to risk management.
• Promote a culture of risk management throughout the organization, fostering awareness and accountability for risk management practices.
• Use creative thinking and problem-solving skills to understand complex issues, find connections, and identify common patterns and solutions.
• Lead, mentor, and develop a high-performing team, fostering a collaborative and inclusive work environment to achieve organizational goals and drive continuous improvement.

Qualifications

Core Competencies

Pay Range : $133,088-$221,813 / year. Actual base salary varies based on factors, including but not limited to, relevant skill, prior experience, education, base salary of internal peers, demonstrated performance, and geographic location. Additionally, LPL Total Rewards package is highly competitive, designed to support your success at work, at home, and at play such as 401K matching, health benefits, employee stock options, paid time off, volunteer time off, and more.

Company Overview : LPL Financial Holdings Inc. (Nasdaq : LPLA) was founded on the principle that the firm should work for advisors and institutions, and not the other way around. Today, LPL is a leader in the markets we serve, serving more than 23,000 financial advisors, including advisors at approximately 1,000 institutions and at approximately 580 registered investment advisor ("RIA") firms nationwide. We are steadfast in our commitment to the advisor-mediated model and the belief that Americans deserve access to personalized guidance from a financial professional.

At LPL, independence means that advisors and institution leaders have the freedom they deserve to choose the business model, services, and technology resources that allow them to run a thriving business. They have the flexibility to do business their way. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors and institutions, so they can take care of their clients.

Join LPL Financial : Where Your Potential Meets Opportunity

At LPL Financial, we believe that everyone deserves objective financial guidance. As the nation's leading independent broker-dealer, we offer an integrated platform of cutting-edge technology, brokerage, and investment advisor services.

Why LPL?

Innovative Environment : We foster creativity and growth, providing a supportive and responsive leadership team.

Limitless Career Potential : Your career at LPL has no limits, only amazing potential.

Unified Mission : We are one team on one missiontaking care of our advisors so they can take care of their clients.

Impactful Work : Our size is just right for you to make a real impact.

Commitment to Equality : We support workplace equality and embrace diverse perspectives and backgrounds.

Community Focus : We care for our communities and encourage our employees to do the same.

Benefits and Total Rewards : Our Total Rewards package goes beyond just compensation and insurance. It includes a mix of traditional and unique benefits, perks, and resources designed to enhance your life both at work and at home.

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 (855) 575-6947.