VPII, Operational Risk Management

LPL Financial

. Lead the continued maturity and execution of key initiatives across LPL’s Operational Risk program .

Posted 10/14/2026full-timeUnited StatesLead💰 $164,300 - $273,800 per yearWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates extensive experience in Operational Risk Management and Enterprise Risk Management, with a strong focus on risk assessments, issues management, and compliance with regulatory standards. Proven ability to lead teams, communicate complex information to executive audiences, and enhance risk processes across financial services.

Highest-signal resume keywords

Operational Risk ManagementEnterprise Risk ManagementGovernance, Risk and Control (GRC) SystemFinancial Services Industry ExperiencePeople Management

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Risk AssessmentsIssues ManagementRisk AppetiteRisk Indicator MetricsRisk and Control Self-Assessments (RCSA)Testing and Rating MethodologiesPolicy DevelopmentRegulatory ComplianceRisk FrameworksSenior-Level Reporting

Soft Skills

Stakeholder EngagementTeam LeadershipCommunicationStrategic ThinkingSupportive Environment

Industry Keywords

FINRASECFinancial ServicesRegulated EntityOperational Risk Program

About the role

Key responsibilities & impact

Lead the continued maturity and execution of key initiatives across LPL’s Operational Risk program
Partner with stakeholders at all levels to design, implement, and execute operational risk processes and capabilities
Manage a team responsible for key components of the Operational Risk program
Work with Business Units to implement and improve issues management, risk event identification, risk indicator metrics, and risk and control self-assessments (RCSA)
Liaise with Risk and Compliance areas to define program requirements, conduct ad hoc risk assessments, enhance policies and procedures, and support senior management and Board risk reporting
Provide Operational Risk insights and guidance to Business Unit leaders
Lead and support team members in an informed, valued, and supportive environment
Provide guidance and oversight for enterprise-wide initiatives and present complex issues clearly to senior leadership
Develop testing and rating methodologies for controls, policies, and procedures

Requirements

What you’ll need

10+ years of experience in the financial services industry
Experience at a regulated entity highly preferable
Experience implementing and executing key elements of an ORM or Enterprise Risk Management (ERM) program, such as risk assessments, risk appetite, and issues management
Experience communicating complex materials for an executive-level audience
Ability to engage on initiatives at the strategic/design level and tactically through day-to-day execution
People management experience
Bachelor's degree in a related field (preferred)
12+ years of experience in the financial services industry (preferred)
Experience with a Governance, Risk and Control (GRC) system (preferred)
Working knowledge of FINRA and SEC rules and regulations and how they impact a broker dealer (preferred)
Demonstrated financial services enterprise risk experience with a strong understanding of risk frameworks and senior-level reporting (preferred)

Benefits

Comp & perks

401K matching
Health benefits
Employee stock options
Paid time off
Volunteer time off
LPL Total Rewards package
Support for success at work, at home, and at play