Assistant Vice President, Operations Risk and Remediation

3 weeks ago


Fort Mill, South Carolina, United States LPL Financial Full time
Job Overview

We are seeking an experienced and results-driven Assistant Vice President (AVP) to lead our Advisory Operations Risk and Remediation's team. As the AVP, you will oversee a specialized team of high-performing Analysts who play a crucial role in leading all remediation through each life cycle of the overall remediation process.

Key Responsibilities
  • Team management including goal-setting, performance reviews and feedback loops
  • Resource allocation and efficiency tracking
  • Business requirement review, finance approval, risk analysis, and risk remediation sign-off
  • Risk remediation and compliance with industry regulations
  • Alignment and collaboration with business owners, product management and technology teams
  • An eye for risk recognition, program management, and timely conclusions
  • Effectively develop KPI's, OKR's and reporting for senior leaders
Requirements
  • Demonstrated ability to lead a high-performing team
  • Understanding of Risk and Risk functionality
  • Ability to solve problems via Lean Six Sigma Principles
  • Demonstrated ability to lead successful, end-to-end projects
  • Understanding of root cause analysis
  • Proficient in Microsoft suite (SQL, Word, PowerPoint, Excel, etc.)
  • FINRA SIE/Series 99 or equivalent. Must obtain within 90 days.
Core Competencies
  • Ability to motivate, inspire, and empower others
  • Develop and communicate a vision to create strong adoption
  • Strong time management and the ability to work independently
  • Strong verbal and written communication skills; ability to communicate effectively to various levels throughout the organization
  • Flexible, adaptive and agile
  • Experience in creating and facilitating presentations.
  • Ability to drive effective meetings both in person and virtually.
Why LPL?

At LPL, we believe that objective financial guidance is a fundamental need for everyone. As the nation's leading independent broker-dealer, we offer an integrated platform of proprietary technology, brokerage, and investment advisor services. We provide you with a work environment that encourages your creativity and growth, a leadership team that is supportive and responsive, and the opportunity to create a career that has no limits, only amazing potential.



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