VP Technology Governance Issue Management and Risk Reporting (San Diego)

VP Technology Governance Issue Management and Risk Reporting

Join to apply for the VP Technology Governance Issue Management and Risk Reporting role at LPL Financial

VP Technology Governance Issue Management and Risk Reporting

3 days ago Be among the first 25 applicants

Join to apply for the VP Technology Governance Issue Management and Risk Reporting role at LPL Financial

What if you could build a career where ambition meets innovation? At LPL Financial, we empower professionals to shape their success while helping clients pursue their financial goals with confidence.

What if you could have access to cutting-edge resources, a collaborative environment, and the freedom to make an impact? If you're ready to take the next step, discover whats possible with LPL Financial.

Job Overview:

We are seeking a highly experienced Vice President Issue Management and Risk Reporting to lead our technology and security issue management program and team. This role requires a strategic leader with proven experience in identifying potential systemic issues, challenging remediation plans and timelines, raising risks early and course correcting plans to meet deadlines, understanding intersections and dependencies across the organization (e.g., regulatory obligations, technology initiatives), and maintaining a strong working relationship across the three lines of defense, security and technology leadership, and legal in a high-growth innovative environment.

Responsibilities:

• Maintain a visible leadership presence and accountability for First Line technology and security issue management and risk reporting, including exception management
• Review and update current processes to mature the program in collaboration with technology, security, legal, and risk leadership including operating model
• Work closely with risk management, internal audit and legal to update risk taxonomy, risk register, standard definitions
• Instill and reinforce proactive management of issues / risks at leadership levels to co-solution, align expectations, reduce bottlenecks in alignment with agreed risk level and prioritization, strategic initiatives, regulatory expectations, systemic issues, sustainability and resiliency goals.
• Oversee complex or high-priority remediation initiatives and act as an escalation point for at risk remediation efforts. Enforce standard policies and procedures including exception management acceptance criteria, approvals, and duration.
• Regular team reviews and challenge to ensure remediation efforts and timeline commitments are maintained. Regular reporting to Head of GRC, and work with your team to prepare presentations for management level governance committees to meet reporting and escalation requirements.
• Strategically identify projects to continually mature and modernize the program and oversee progress.
• Lead, mentor, and manage a team of senior engineers and analysts.

What are we looking for?

Were looking for strong collaborators who deliver exceptional client experiences and thrive in fast-paced, team-oriented environments. Our ideal candidates pursue greatness, act with integrity, and are driven to help our clients succeed. We value those who embrace creativity, continuous improvement, and contribute to a culture where we win together and create and share joy in our work.

Requirements:

• 8+ years experience successfully leading technical project management, issues management, or remediation efforts in a highly regulated environment
• 8+ years of security and technology combined experience sufficient to co-solution, challenge remediation timelines and efforts, identify dependencies or systemic issues, recognize and address potential risks early
• Highly experienced in strategic thinking, partnering across business lines and 3LOD, influencing outcomes to meet security, risk, and business objectives.
• Strong understanding of risk management, policy and standards, and regulatory compliance including enforcement
• Experience with Archer, JIRA, Service Now

Core Competencies:

• Strong interpersonal and presentation skills, with the ability to communicate complex technical concepts to business stakeholders
• Strong project management, prioritization, and organizational capabilities
• Proven ability to develop team competencies and skills

Preferences:

• Experience working in a financial services environment
• Previous experience adopting and refining risk methodologies and practices
• Demonstrated experience in successfully closing findings with multiple complex remediation workstreams across teams, with dependencies, and competing priorities
• Strong collaboration, bringing in the right people to holistically problem solve

Pay Range:

$143,100-$238,500/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. Your recruiter will be happy to discuss all that LPL has to offer!

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 nations 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. Learn more about our leadership team here!
• Limitless Career Potential: Your career at LPL has no limits, only amazing potential. Learn more about our careers here!
• Unified Mission: We are one team on one missiontaking care of our advisors so they can take care of their clients. Learn more about our mission and values here!
• Impactful Work: Our size is just right for you to make a real impact. Learn more here!
• Commitment to Equality: We support workplace equality and embrace diverse perspectives and backgrounds. Learn more here!
• Community Focus: We care for our communities and encourage our employees to do the same. Learn more here!
• 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. Learn more here!

Join the LPL team and help us make a difference by turning lifes 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 applicants bank or credit card. Should you have any questions regarding the application process, please contact LPLs Human Resources Solutions Center at (855) 575-6947.

EAC1.22.25

Seniority level

• Seniority level

  Executive

Employment type

• Employment type

  Full-time

Job function

• Job function

  Information Technology

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