Assistant Vice President, Operations Risk and Remediation
3 weeks ago
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
- 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.
- 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.
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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