LPL Financial

We are seeking a highly skilled and experienced Human Resources Risk & Compliance professional to fill the role of VP, HR Risk & Compliance. The VP, HR Risk & Compliance is a new addition to the team and will be responsible for developing and implementing practices to support the HR Risk and Compliance strategy. This role will set governance and framework to ensure HR policies and practices are aligned with the organization’s strategic goals, leading to improved organizational performance, fostering a culture of trust, transparency and accountability. This role requires an individual who can bring their expertise, business acumen and innovative mindset to help evolve the HR Risk & Compliance function. 

The VP, HR Risk & Compliance will be a working manager, and oversee a team comprised of HR Risk Management, Immigration Support, and Environment, Health & Safety. HR Risk & Compliance is a highly cross-functional and collaborative function within a dynamic, Human Capital organization, and the VP, HR Risk & Compliance will also work closely in partnership with the Legal, Risk and Compliance groups within the firm.

Key Responsibilities:

• Develop and implement practices to support the HR risk and compliance strategy at LPL
• Build the right audit and process monitoring to ensure all HR practices and policies are current and in compliance. This includes building the right framework for our various affiliation models.
• Outline best practices, policies and auditing of the workplace to ensure LPL remains a healthy and safe work environment, in compliance with the law and OSHA/Cal-OSHA agency standards
• In partnership with Employment Law, lead the development of guidelines for enforcement of HR policies, practices and standards
• Proactively monitor market trends and remain apprised of regulatory updates that impact HR policies and practices
• Create cadence and format for reporting of HR risk and compliance activities
• Partner with functional owners and Employment Law to review, edit and post HR compliance related policies on our intranet, review and edit draft policies proposed by functional owners across the organization
• Partner with Enterprise Risk, Internal Audit, Procurement and Compliance teams in the organization to align on expectations for Human Capital and its functions
• Manage and develop a team of risk, immigration and Employee Health & Safety direct and indirect reports
• Manage and create LPL immigration policy, and communicate expectations to stakeholders
• Vendor management for immigration counsel (in partnership with Employment Law), and LPL’s workers’ compensation carrier
• Assist senior management with the execution of risk and controls related matters and internal audits, as needed
• Partner with the Employment Law team on employment compliance initiatives
• Assist with other initiatives and projects as directed

Qualifications:

• Bachelor's degree
• Minimum of 10 years of HR risk and compliance experience
• Experience with managing a team of direct/indirect reports
• Experience with conducting workplace audits and initiating related findings and reports
• Experience with creating and analyzing metrics-based reports, and formulating data-driven insights
• Excellent verbal and written communication, interpersonal, and organizational skills
• Strong analytical and problem-solving skills
• Proficient in Microsoft Office products

Pay Range:

$128,080-$192,120/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!

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.

We are one team on one mission. We take care of our advisors, so they can take care of their clients.

Because our company is not too big and not too small, you can seize the opportunity to make a real impact. We are committed to supporting workplace equality, and we embrace the different perspectives and backgrounds of our employees. We also care for our communities, and we encourage our employees to do the same. This creates an environment in which you can do your best work.

Want to hear from our employees on what it’s like to work at LPL? Watch this!

We take social responsibility seriously. Learn more here

Want to see info on our benefits? 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.