VP - IT Risk Management

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:

We are seeking a dynamic and strategic Vice President of Technology Risk and Governance to join our Risk, Operations, Compliance, and Transformation (ROCiT) team. This VP will be a key leader within the second line of defense, reporting directly to the Head of IT Risk Management. The role will be central to driving the maturity of LPL’s IT risk governance, overseeing emerging technology risks (including AI), and implementing a scalable, forward-looking GRC framework. This highly visible role will require influencing across risk domains, supporting executive-level engagements, and ensuring consistent application of LPL’s risk framework. The ideal candidate will bring deep subject matter expertise, operational rigor, and a passion for innovation in risk management.

Responsibilities:

Technology & Information Risk Oversight

• Serve as second-line oversight for key technology domains including cybersecurity, infrastructure, and software life development cycles.

• Lead and enhance technology risk governance routines (e.g., Tech Risk Committee), including KRIs, metrics, and issue management.

Governance, Risk & Compliance (GRC)

• Co-own the execution of the firm’s GRC strategy, with a focus on policy governance, risk assessments, control testing, and reporting.

• Lead enterprise-wide IT risk and control assessments aligned with NIST CSF, COBIT, FFIEC, and other regulatory frameworks.

• Drive operational maturity across risk identification, remediation, and challenge functions in collaboration with business and first-line teams.

Risk Culture & Awareness

• Partner with enterprise awareness programs to embed technology risk, AI ethics, and governance into training and communications.

• Champion a risk-first mindset by developing practical tools and playbooks for line-of-business engagement.

Strategic Risk Leadership

• Represent the IT Risk team in various governance and working groups, offering proactive insights and credible challenge.

• Identify and advise on emerging risks and systemic trends, including concentration risks, AI model governance, and third-party risk exposure.

• Partner closely with Compliance, Cybersecurity, Internal Audit, Business Continuity, and Legal to ensure aligned risk posture.

• Provide leadership over GRC program operations, including strategic planning, cross-functional coordination, KPI tracking, and reporting to executive leadership.

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:

• 12–15+ years of experience in technology risk, IT governance, or enterprise risk management roles within financial services or highly regulated industries.

• Deep knowledge of technology risk frameworks and regulatory expectations (e.g., NIST CSF, GLBA, FFIEC, 23 NYCRR 500).

• Strategic thinker with the ability to translate complex risk topics into actionable business guidance.

• High EQ and collaborative style with strong interpersonal and communication skills.

• Strong analytical mindset with experience designing and reporting on risk metrics and maturity assessments.

• Experience managing control testing, risk assessments, and enterprise policy frameworks.

Preferences:

• Demonstrated success managing regulatory exams and executive-level stakeholder engagement.

• Prior experience supporting or operating as a Chief of Staff or GRC operations leader is a plus.

• Preferred Certifications: CRISC, CISA, CISSP, CGEIT, or equivalent.

#LI-PA

 

Pay Range:

$123,225-$205,375/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) was founded on the principle that the firm should work for advisors and institutions, and not the other way around. Today, LPL is a leader in the markets we serve, serving more than 23,000 financial advisors, including advisors at approximately 1,000 institutions and at approximately 580 registered investment advisor ("RIA") firms nationwide. We are steadfast in our commitment to the advisor-mediated model and the belief that Americans deserve access to personalized guidance from a financial professional.

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.

Join LPL Financial: Where Your Potential Meets Opportunity

At 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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