The Technology Compliance Manager is responsible for several key functions in Governance Risk and Compliance (GRC) department. They work with all levels of staff in the various units within LPL Financial including BTS, BDSS, GRC and Legal.
This position requires excellent communication and writing skills, detailed knowledge of LPL Financial technology, high level of competence in LPL Financial policies and procedures, the ability to interact with and direct all levels of staff including senior and executive management, as well as detailed knowledge of regulatory requirements. The candidate for this position would be required to:
Essential Functions :
- Resolve complex technical and business issues
- Prepare and present oral and written reports and presentations
- Define resource requirements, project workflow and budgets
- Supervise and train associates and senior associates
- Ensure that Quality Control processes are followed and maintained
- Serve as a technical resource to associates and senior associates
- Develop and maintain client relationships and ensure client satisfaction
- Participate in initiatives to improve the operational and technical capabilities of the firm
1. Manage GRC E-Discovery Process . Ensure GRC E-Discovery technology tools are working correctly to support the GRC E-Discovery functions. This function may include vendor relationship management; trouble shooting and issue resolution; coordinating BTS and outside vendors to fix issues or find solutions to problems; escalation of issues not being resolved; finding creative work around; obtaining consensus and approval from impacted parties; ensuring the appropriate parties are included in the decision process and the appropriate individuals are apprised of the progress/decisions/issues/risks encountered; submitting and advocating requests for improvement; writing/reviewing support documentation, policies and procedures; maintaining issues list; running meetings with agendas and minutes; mediating and resolving issues; coordinating/conducting testing; coordinating and/or conducting training; creating and implementing a communication/training plan.
2. Management of Staff including.
- Manage RPMs and the RPM process for GRC E-discovery Team
- Evaluate and initiate department structure and provide role clarification, setting performance standards and implementing accountabilities.
- Participate in hiring decisions, including assisting with preparation of job postings/descriptions, interviews, and review of resumes.
- Responsible for coordinating assignments and timely completion of tasks in order to implement appropriate technology solutions.
- Monitor team members’ workload, overtime, and adjusts resources as necessary.
- Review time notes for support personnel to ensure timeliness and quality.
- Responsible for evaluation process including identification and implementation of development goals, etc.
3. Manage other GRC Processes . Ensure GRC processes are completed to ensure compliance, mitigate risk and ensure solid corporate governance. This function may include relationship management with BTS, finance, strategic planning and other areas of LPL; trouble shooting and issue resolution; coordination and follow-up across various areas of LPL and advisors; escalation of issues not being resolved; finding creative work around; ensuring the appropriate parties are included in the decision process and the appropriate individuals are apprised of the progress/decisions/issues/risks encountered; submitting and advocating requests for improvement; writing/reviewing support documentation, policies and procedures; and mediating and resolving issues. Some of the processes include coordination of RPMs for GRC; draft, facilitate, negotiate and own the annual project, non-RPM headcount, and GRC Goals.
Other Job Duties :
- Participate in firm wide and other department projects/initiatives as the GRC representative/subject matter expert to provide GRC guidance and interpretation of rules, regulations, risks, and best practices. Create and implement/disseminate new polices, procedures, training and communication of the new policies and procedures to support these projects.
- Participate in the filing and creation of the GRC goals.
- Act as a firm representative or testify in arbitrations, lawsuits, regulatory enforcement matters, and other cases.
- Remain current in technology developments in the legal industry.
- Ensure expertise in relevant technology; proactively use most current technology to further teamwork, client service, and efficiency.
- Mentor and educate team members on current industry technology and issues.
Minimum Education Required:
- Minimum Education Required:
- Bachelor’s Degree in MIS, CIS, Accounting, Finance, Business Administration, Economics or Mathematics or equivalent work experience
- 2-3 years of hands-on technical experience and/or computer forensic investigations Advanced decision making and problem solving skills. Experience with Electronic Discovery a plus.
- General database, networking, and systems concepts
- Provide appropriate technology consulting services to clients, attorneys, paralegals and support staff.
- Team player who is comfortable working in a dynamic and fast-paced environment with minimal supervision
- Ability to interact confidently with senior management and lawyers/partners
- Excellent verbal and written communication skills
- Ability to manage time and tasks around intense deadlines for clients who work in a time-sensitive industry
- Communicate effectively to all levels of management
- Balance multiple projects and other responsibilities
- Strong ability to properly delegate work load
- Professional demeanor and strong communication skills, both written and oral
- Working knowledge of S.E.C., FINRA, NFA, CFTC, and MSRB rules.
2. Microsoft Office Suite
3. Microsoft Exchange
4. FTP Protocols
ADDITIONAL SKILLS REQUIRED:
We offer a competitive salary and benefits package. Please login or create an account to apply to this position. Principals only. EOE
- 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;
- Exceptional interpersonal and partnership skills and the ability to positively influence outcomes, particularly in difficult matters;
- Strong time management and organization skills; and
- Highly motivated and able to adapt to changing priorities.
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LPL Financial Services - 15 months ago