Assistant Vice President, Technology Risk
LPL Financial · Fort Mill, United States +1 · 1d ago
Where Ambition Meets Innovation
Build a career that matches all your initiative with an impressive dose of innovation. From cutting-edge resources and a collaborative environment to the freedom to make an impact and more, you’ll find the ingredients you need at LPL Financial to shape your success while helping clients pursue their financial goals.
Job Overview:
The Technology Risk organization is seeking an Assistant Vice President, Technology Risk to provide independent oversight and credible challenge of technology risk across the firm. This leader will help execute and enhance the Technology Risk Management program, enabling consistent identification, assessment, monitoring, escalation, mitigation, and reporting of technology risks in support of business objectives, regulatory expectations, and operational resilience.
This role serves as a trusted risk partner to Technology, Information Security, business, and control leaders. The Assistant Vice President will lead risk assessments and oversight activities, evaluate the design and effectiveness of technology controls, challenge risk-based decisions, and provide clear insight into material exposures, control weaknesses, and remediation progress.
The role partners closely with Technology, Information Security, Business Resilience, Third-Party Risk, Compliance, Legal, Internal Audit, and other Risk functions to strengthen the technology control environment and support responsible innovation and sustainable growth.
Roles & Responsibilities:
- Lead assigned areas of the Technology Risk Management program and support execution of the program strategy, priorities, operating model, and capability roadmap.
- Provide independent oversight and credible challenge of technology risks, controls, risk acceptances, remediation strategies, target-date extensions, and emerging exposures.
- Lead technology risk assessments across areas such as cybersecurity, infrastructure, cloud, applications, data, software development, change management, identity and access management, resilience, and technology-enabled third parties.
- Evaluate the design and effectiveness of technology controls and assess whether residual risk is understood, appropriately rated, and managed within risk appetite.
- Apply and enhance technology risk methodologies, standards, procedures, governance routines, and reporting requirements to promote consistent execution.
- Monitor material technology risks, control weaknesses, issues, exceptions, and dependencies, and escalate concerns when exposure or remediation progress warrants attention.
- Review and challenge technology-related issues and action plans for clear root cause, sustainable corrective action, appropriate milestones, supporting evidence, and timely closure.
- Develop and monitor key risk indicators, metrics, dashboards, and trend analyses that provide actionable insight into the firm’s technology risk profile.
- Prepare concise risk reporting and recommendations for senior leadership, governance committees, regulators, and other stakeholders.
- Facilitate technology risk governance discussions and support timely decisions regarding risk treatment, remediation priorities, and acceptance of residual risk.
- Provide risk oversight for strategic initiatives, major technology changes, new capabilities, cloud adoption, automation, artificial intelligence, and other emerging technologies.
- Partner with first-line technology and security teams to clarify risk ownership, strengthen control design, and improve the quality and consistency of risk management practices.
- Coordinate with Compliance, Legal, Business Resilience, Third-Party Risk, Internal Audit, and other oversight functions to promote aligned coverage and reduce unnecessary duplication.
- Support regulatory examinations, Internal Audit reviews, independent assessments, and responses related to technology risk and controls.
- Track regulatory developments, industry practices, threat trends, and changes in the technology environment, and recommend appropriate enhancements to the risk program.
- Lead and develop a team of technology risk professionals, set clear expectations, and allocate resources based on risk exposure and business priorities.
- Foster a culture of accountability, transparency, collaboration, credible challenge, and continuous improvement.
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
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Requirements:
- Bachelor’s degree in Information Technology, Cybersecurity, Computer Science, Risk Management, Business, Finance, or a related discipline
- 5-10+ years of progressive experience in technology risk, cybersecurity risk, information security, technology audit, technology controls, operational risk, or related disciplines within financial services or another highly regulated industry.
- Experience leading technology risk assessments, control evaluations, issue oversight, governance, and risk reporting.
- Experience providing independent risk oversight and credible challenge while maintaining effective partnerships with technology and business leaders.
Core Competencies:
- Strong knowledge of technology risk and control frameworks, industry standards, and regulatory expectations applicable to financial services organizations.
- Working knowledge of key technology risk domains, including cybersecurity, cloud, infrastructure, applications, data, identity and access management, change management, resilience, and third-party technology risk.
- Experience providing independent risk oversight and credible challenge while maintaining effective partnerships with technology and business leaders.
- Ability to evaluate complex technology risks and translate technical information into clear business implications, decisions, and recommendations.
- Experience supporting regulatory examinations, Internal Audit activities, governance committees, or other independent assessments.
- Strong understanding of SEC, FINRA, and other applicable regulatory expectations affecting technology and cybersecurity risk in financial services.
- Experience leading teams, developing risk professionals, and managing work across multiple priorities.
- Exceptional written and verbal communication skills, sound judgment, and the ability to influence effectively in a complex and evolving environment.
Preferences:
- Advanced degree in Information Technology, Cybersecurity, Business, Risk Management, or related field.
- Professional certification such as CISA, CISSP, CRISC, CISM, CGEIT, CIA, or another relevant technology, risk, audit, or control credential.
- Experience with Governance, Risk and Compliance platforms, including Archer or comparable systems.
- Experience supporting broker-dealer, wealth management, advisory, banking, or capital markets businesses.
- Experience with cloud risk, cybersecurity, operational resilience, artificial intelligence, data risk, or technology third-party risk.
- Experience contributing to transformation initiatives related to technology risk management, governance, or controls.
Pay Range:
$106,502.00 - $177,572.00Company 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 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.
EAC 5.19.26