Human Resources Risk & Compliance Manager
Are you a team player? Are you curious to learn? Are you interested in working in meaningful projects? Do you want to work with cutting-edge technology? Are you interested in being part of an innovative team that builds products which are transforming the organization? If so, LPL Financial is the place for you!LPL Financial is one of the nation's leading financial services companies and a publicly traded company under ticker symbol LPLA.
We support over 18,000 financial professionals including over 14,000 independent advisors, more than 700 financial institutions, and over 4,000 institutional clearing and technology subscribers.
We enable advisors to focus on their clients by reducing the complexity of running their practice and we support their business by offering enabling technology, comprehensive clearing and compliance services, practice management programs and training, and independent research.
At LPL, we take care of our advisors, so they can take care of their clients.
And Technology is at the center of our mission.
Excited to learn more? If so, then this could be the role for you! Job Overview:
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.
Responsibilities:
Develop and implement practices to support the HR risk and compliance strategy at LPLExperience managing a team comprised of HR Risk Management, Immigration Support, and Environment, Health & Safety.
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 standardsIn partnership with Employment Law, lead the development of guidelines for enforcement of HR policies, practices and standardsProactively monitor market trends and remain apprised of regulatory updates that impact HR policies and practicesCreate cadence and format for reporting of HR risk and compliance activitiesPartner 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 organizationPartner with Enterprise Risk, Internal Audit, Procurement and Compliance teams in the organization to align on expectations for Human Capital and its functionsManage and develop a team of risk, immigration and Employee Health & Safety direct and indirect reportsManage and create LPL immigration policy, and communicate expectations to stakeholdersVendor management for immigration counsel (in partnership with Employment Law), and LPL s workers compensation carrierAssist senior management with the execution of risk and controls related matters and internal audits, as neededPartner with the Employment Law team on employment compliance initiativesWhat are we looking for?We want strong collaborators who can deliver a world-class client experience.
We are looking for people who thrive in a fast-paced environment, are client-focused, team oriented, and are able to execute in a way that encourages creativity and continuous improvement.
Requirements:
10 years of HR risk and compliance experience, involved in developing and implementing best practices including setting risk frameworks that align with strategic goalsManaging a team of direct/indirect reportsExperience with conducting workplace audits and initiating related findings and reportsExperience with creating and analyzing metrics-based reports, and formulating data-driven insightsExcellent verbal and written communication, interpersonal, and organizational skillsPreferences:
Bachelor's degreeStrong analytical and problem-solving skillsProficient in Microsoft Office productsPay Range:
$128,080-$192,120/yearActual 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 hereWant to see info on our benefits? Learn more hereJoin 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.
SummaryLocation:
Fort Mill/Charlotte; San DiegoType:
Full time.
Estimated Salary: $20 to $28 per hour based on qualifications.
We support over 18,000 financial professionals including over 14,000 independent advisors, more than 700 financial institutions, and over 4,000 institutional clearing and technology subscribers.
We enable advisors to focus on their clients by reducing the complexity of running their practice and we support their business by offering enabling technology, comprehensive clearing and compliance services, practice management programs and training, and independent research.
At LPL, we take care of our advisors, so they can take care of their clients.
And Technology is at the center of our mission.
Excited to learn more? If so, then this could be the role for you! Job Overview:
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.
Responsibilities:
Develop and implement practices to support the HR risk and compliance strategy at LPLExperience managing a team comprised of HR Risk Management, Immigration Support, and Environment, Health & Safety.
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 standardsIn partnership with Employment Law, lead the development of guidelines for enforcement of HR policies, practices and standardsProactively monitor market trends and remain apprised of regulatory updates that impact HR policies and practicesCreate cadence and format for reporting of HR risk and compliance activitiesPartner 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 organizationPartner with Enterprise Risk, Internal Audit, Procurement and Compliance teams in the organization to align on expectations for Human Capital and its functionsManage and develop a team of risk, immigration and Employee Health & Safety direct and indirect reportsManage and create LPL immigration policy, and communicate expectations to stakeholdersVendor management for immigration counsel (in partnership with Employment Law), and LPL s workers compensation carrierAssist senior management with the execution of risk and controls related matters and internal audits, as neededPartner with the Employment Law team on employment compliance initiativesWhat are we looking for?We want strong collaborators who can deliver a world-class client experience.
We are looking for people who thrive in a fast-paced environment, are client-focused, team oriented, and are able to execute in a way that encourages creativity and continuous improvement.
Requirements:
10 years of HR risk and compliance experience, involved in developing and implementing best practices including setting risk frameworks that align with strategic goalsManaging a team of direct/indirect reportsExperience with conducting workplace audits and initiating related findings and reportsExperience with creating and analyzing metrics-based reports, and formulating data-driven insightsExcellent verbal and written communication, interpersonal, and organizational skillsPreferences:
Bachelor's degreeStrong analytical and problem-solving skillsProficient in Microsoft Office productsPay Range:
$128,080-$192,120/yearActual 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 hereWant to see info on our benefits? Learn more hereJoin 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.
SummaryLocation:
Fort Mill/Charlotte; San DiegoType:
Full time.
Estimated Salary: $20 to $28 per hour based on qualifications.
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