Senior Vice President, Risks and Controls
LPL Financial Services - Charlotte, NC

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This position is responsible for the harmonization, consolidation and coordination of The Broker Dealer Support Service’s (BDSS) diverse reporting processes and methodologies, and the establishment and maintenance of quality control and service level standards for the various BDSS disciplines. Building out the overall risk and controls process for BDSS, working closely with Governance Risk and Compliance (GRC) to define, implement and train managers on various control and risk policies consistent with a rapidly evolving regulatory environment.

Responsibilities Include:
  • Initializing, driving and institutionalizing a sustained and focused effort to enhance risk and controls and achieve high quality standards
  • Creating consistent and consolidated reporting for all of the BDSS areas that identify control weaknesses and corresponding action plans
  • Developing dashboards to communicate the relative effectiveness of the control infrastructure and identify potential trends and themes
  • Identifying common service level standards for the various BDSS functions and assessing related performance
  • Using data analysis to help BDSS develop a more proactive and anticipatory approach to risk management. Ensure ongoing analysis of risks, vulnerabilities, and market trends. Determine potential impact on the organization’s risk posture
  • Benchmarking BDSS effectiveness against industry standards and peer firms
  • Evaluating BDSS impact on the overall LPL control environment
  • Being recognized as a strategic thought leader and major business partner for development of enterprise-wide or business segment strategy
  • Will be responsible for working with individuals from staff to executive level in the various units within LPL Financial including BTS, BDSS, GRC and Legal to complete the various functions above, providing education (teaching) necessary to enable a culture of controls.

  • 15+ years or industry experience (preferably financial services) in internal audit, compliance, risk management and/or other internal control disciplines
  • Strong overall business acumen (preferably operational experience)
  • Experience managing large vendor relationships
  • Ability to aggregate, analyze and interpret control environment related data and to communicate effectively to executive management and board members
  • Ability to manage and lead effectively in an ever changing environment (both corporate and regulatory) through business acumen and organizational agility
  • Expert change management driver who has critical consensus building skills and an ability to drive complex initiatives and change across multiple functions within the organization by partnering with and leveraging others’ expertise and roles
  • Build sound business relationships across the enterprise to enable a strong understanding and close alignment with business needs, direction, and risk appetite
Licenses/Certifications Preferred:
  • Series 7, 24, 63 and 65 (66) preferred
Software/Systems Skills Required/Preferred:
  • All Microsoft applications, particularly, VISIO, WORD, ACCESS, PowerPoint and Excel

Soft Skills Required:
  • Excellent verbal and written communication skills
  • Personable and reliable self-starter who requires minimal management oversight for day-to-day work responsibilities
  • Strong attention to detail with a pro-active approach to solving and preventing problems
  • Ability to work under pressure/deadlines and manage multiple priorities
  • Ability to interface effectively with all levels of management
  • Exceptional interpersonal and partnership skills and the ability to positively influence outcomes, particularly in difficult matters
  • Experience in leading teamsfrom a matrixed managed perspective
  • Strong time management and organizational skills
  • Highly motivated and able to adapt to changing priorities

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