Assistant Vice President, Technology Risk

LPL Financial•Charlotte, NC

15h

About The Position

The Assistant Vice President, Technology Risk provides independent oversight and credible challenge of technology risk across LPL Financial. The role helps execute and enhance the Technology Risk Management program to support consistent identification, assessment, monitoring, escalation, mitigation, and reporting of risks in line with business objectives, regulatory expectations, and operational resilience. It serves as a trusted risk partner to Technology, Information Security, business, and control leaders. The role leads risk assessments and oversight activities, evaluates technology control design and effectiveness, challenges risk-based decisions, and provides insight into material exposures, control weaknesses, and remediation progress. It works 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. The position also leads and develops a team of technology risk professionals.

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 a related discipline 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.
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.
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 ability to influence effectively in a complex and evolving environment.

Nice To Haves

Advanced degree in Information Technology, Cybersecurity, Business, Risk Management, or a 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.

Responsibilities

Lead assigned areas of the Technology Risk Management program and support execution of its 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 cybersecurity, infrastructure, cloud, applications, data, software development, change management, identity and access management, resilience, and technology-enabled third parties.
Evaluate technology control design and effectiveness, 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.
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 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 about risk treatment, remediation priorities, and residual risk acceptance.
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 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 related responses concerning technology risk and controls.
Track regulatory developments, industry practices, threat trends, and technology-environment changes, and recommend appropriate risk-program enhancements.
Lead and develop a team of technology risk professionals, set clear expectations, and allocate resources according to risk exposure and business priorities.
Foster accountability, transparency, collaboration, credible challenge, and continuous improvement.