AVP, Technology and Cybersecurity Compliance

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 what’s possible with LPL Financial.

Job Overview:

We are seeking an experienced Assistant Vice President who understands the regulatory expectations of the financial services sector, and can demonstrate success in leading regulatory readiness, inquiries, exams, remediation plans and actions across technology and cybersecurity.  This position requires strong partnership across legal, compliance and risk with the ability to converse with technology and cybersecurity subject matter experts. 

Responsibilities:

• Coordinate regulatory activities with key stakeholders including exam readiness, attestation readiness, evidence collection, controls testing, findings and remediation, and reporting.

• Operate across governance risk and compliance team to ensure alignment relative to regulatory requirements and commitments which impact policy, risk remediation timelines, awareness activities, risk assessments, and third-party due diligence.

• Prepare readiness packages, liaison with technology and cybersecurity leaders to understand updated roadmaps and issues, and work with subject matter experts to draft and validate current understanding across the LPL technology and cybersecurity landscape and respond to external inquiries.

• Manage remediation timelines, reporting, and activities for findings that impact regulatory compliance.

• Lead other activities as required including regulatory mapping, policy review, and training.

• Promote a risk aware culture, ensure efficient and effective risk and compliance management practices by adhering to required standard and processes and seeking opportunities to optimize.

• Lead, mentor, and manage team members

What are we looking for?

We’re 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:

• Bachelor’s degree in Business, Technology, Cybersecurity or related field

• 7+ years' experience successfully operating in a governance or compliance role within cybersecurity and/or technology for a highly regulated firm

• Strong understanding of SOC2, 23 NYCRR 500, FINRA, SEC and demonstrated experience successfully leading regulatory activities

• Ability to partner across technology, cybersecurity, audit, legal, compliance, and risk towards joint outcomes

Core Competencies:

• Strong interpersonal and presentation skills, with the ability to convey complex technical concepts to business stakeholders

• Detailed oriented with strong project management and problem-solving skills

• Proven ability to develop team competencies and skills

• Experience with Archer, JIRA, Service Now, Confluence

Preferences:

• Experience working in a financial services environment

• Previous experience adopting and refining regulatory readiness practices including drafting responses to regulatory and third party inquiries about technology and cybersecurity programs and capabilities

• Demonstrated experience in driving remediation efforts to close regulatory or internal audit findings which impact regulatory compliance to closure involving multiple stakeholder groups

• Strong collaboration, bringing in the right people to holistically problem solve while connecting dots to potential systemic issues, dependencies, etc.

• Related technical experience in cybersecurity, product, or technology

#LI-Hybrid

 

Pay Range:

$117,225-$195,375/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) is among the fastest growing wealth management firms in the U.S. As a leader in the financial advisor-mediated marketplace. LPL supports over 29,000 financial advisors and the wealth-management practices of 1,100 financial institution, servicing and custodying approximately $1.9 trillion in brokerage and advisory assets on behalf of approximately 7 million Americans. The firm provides a wide range of advisor affiliation models, investment solutions, fintech tools and practice management services, ensuring that advisors and institutions have the flexibility to choose the business model, services, and technology resources they need to run thriving businesses.

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.

For further information about LPL, please visit www.lpl.com.

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. 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 mission—taking 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 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.

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