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:The Assistant Vice President, Risk Management serves as a leader responsible for advancing the firm's enterprise risk management oversight capabilities. The position supports the preparation and review of senior management and Board-level materials, manages key governance routines, and partners closely with stakeholders across the organization. In addition, the AVP will lead the development and enhancement of enterprise-level frameworks and programs that strengthen the firm's risk management practices.
Responsibilities:- Develop, enhance, and implement enterprise-wide frameworks that support effective risk management across the organization.
- Drive cross-functional alignment and adoption of these frameworks by engaging senior stakeholders across business lines.
- Maintain supporting documentation, standards, and procedures to reflect evolving business needs.
- Lead the continued evolution of the firmwide assessment program, elevating the methodology and strengthening outputs.
- Facilitate discussions with senior risk leaders to identify themes, emerging trends, and key firmwide risks.
- Enhance the assessment process by expanding data sources and improving structure.
- Lead the development and refinement of the firm's risk metrics program to support consistent measurement and clear reporting across the organization.
- Oversee review cycles and ensure accuracy and consistency of materials submitted across governance forums.
- Prepare, refine, and deliver high-quality presentations and summaries for senior management and Board-level discussions.
- Communicate expectations, updates, and risks clearly and professionally to leadership.
- Model strong leadership behaviors, helping to shape team culture, expectations, and delivery standards.
- Provide guidance, direction, and informal leadership to analysts supporting key risk programs
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:- 7+ years of financial services experience
- Bachelor's degree in Finance, Accounting, Business, or Economics (or a related discipline)
Core Competencies:- Strong analytical thinking and problem-solving abilities
- Advanced Microsoft Excel skills, including the ability to apply formulas, manipulate datasets, and extract meaningful insights
- Strong PowerPoint skills and comfort with executive-ready presentation design
- Exceptional written and verbal communication skills, with the ability to translate complex risk concepts into compelling storytelling for senior leadership
- Ability to manage multiple priorities in a fast-paced environment
- Strong attention to detail and organizational skills
- Ability to collaborate across teams and influence without formal authority
- Capacity to take initiative, identify opportunities, and implement improvements
- Demonstrated leadership capabilities with the ability to guide and influence others
Pay Range: $106,528-$177,546/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(6) , LPL supports over 32,000 financial advisors and the wealth management practices of approximately 1,100 financial institutions, servicing and custodying approximately $2.3 trillion in brokerage and advisory assets on behalf of approximately 8 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. For further information about LPL, please visit www.lpl.com.
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 OpportunityAt 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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