Financial Advisor - Burke & Herbert Bank

LPL Financial Services
McLean, VA
Your career path should lead to real opportunity

LPL Financial partners with banks to offer a complete menu of financial services to bank clients. This employment opportunity at Burke & Herbert Bank in McLean, VA would allow you to join the Investment Program at Burke & Herbert Bank as a Financial Advisor associated with LPL Financial. Under this model Financial Advisors are not employees of LPL Financial.

The Investment Program at Burke & Herbert Bank supports the local community with a complete menu of financial services. You will join a team that is dedicated to helping clients in every stage of their financial life.

This exciting position will allow you to grow your career and business, helping the people and families that look to Burke & Herbert Bank for financial solutions. This position will offer:

* The ability to build a strong client base with the Bank's exceptional referral system
* Several branch territories with significant deposit base, which includes current clients who need an advisor to support their financial goals
* The opportunity to find new clients via the bank's client base
* The opportunity to create client solutions without proprietary products
* The ability to grow your business with LPL's combination of tools, technology, and support
* The benefit of LPL's experience helping financial institutions grow and maximize their investment programs
* The opportunity to capitalize on the bank's reputation and community standing

As an advisor associated with LPL Financial, you benefit from our commitment to take care of you so you can take care of your clients. Your partnership includes:

* Access to our proprietary technology and a suite of customized services
* An open architecture platform with access to thousands of investment products from leading third-party product sponsors
* Resources and expertise across the firm to help you create client solutions
* The freedom to create solutions specific to your client's goals

Whatever your vision of success, we're with you every step of the way.

Requirements:

* Series 7 and 66 (63/65) required
* Insurance license required
* Three or more years of investment sales experience

Apply online at: By submitting an application, you are not applying for employment with LPL Financial. Employment is with Burke & Herbert Bank, however, in accordance with regulatory requirements, LPL Financial would hold your securities/insurance licenses.

* REQUIRED DISCLOSURE(S)

These investment products and services are being offered through LPL or its affiliates, which are separate entities from, and not affiliates of, Burke & Herbert Bank.

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 (800) 877-7210.

AVP, Finance & Data Analytics (remote)

LPL Financial Services
Remote or San Diego, CA
* 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 a team that is working to transform and do things differently? If so, LPL Financial is the place for you!
Excited to learn more? If so, then this could be the role for you!

LPL Financial (Nasdaq: LPLA) was founded on the principle that the firm should work for the advisor, and not the other way around. Today, LPL is a leader* in the markets we serve, supporting more than 19,000 financial advisors, 800 institution-based investment programs and 450 independent RIA firms nationwide. We are steadfast in our commitment to the advisor-centered model and the belief that Americans deserve access to objective guidance from a financial advisor. At LPL, independence means that advisors have the freedom they deserve to choose the business model, services, and technology resources that allow them to run their perfect practice. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors, so they can take care of their clients.

We are currently looking to hire an AVP, Data Analytics within the CLR Business Management department, which is a part of LPL's Compliance Legal and Risk (CLR) organization. This role requires data analytics and business management capabilities to support the CLR Organization and the Chief of Staff. The AVP will be responsible for leading a team and will be tasked with working with all levels of staff in the various divisions of LPL Financial, including CLR, Finance, and the CARE organization.

This position requires excellent data, communication and writing skills, and the ability to quickly develop a working knowledge of the CLR organization. The ability to effectively interact with all levels of staff including senior and executive management, as well as experience working within a broker/dealer environment; ideally with a finance or business management background is preferred.

Responsibilities:

* Support the CLR Chief of Staff and Senior Leadership on a variety of operational, strategic, financial and ad hoc projects & initiatives as it relates to efficiency, effectiveness and scale of the division.
* Serve as the liaison of the CLR division to Finance for items related to budget, headcount, mergers & acquisitions, sourcing & procurement, and ad hoc projects.
* Lead the nimble and high-performing Strategy & Analytics team for the Compliance Legal & Risk (CLR) division, driving operational excellence and continuous improvement.
* Build cross-functional relationships across all leadership levels of the firm in order to find "signal in the noise" data points and anecdotes critical to the success of key projects and initiatives of the business.
* Responsible for assisting the Vice President of the department in creating, managing, and continuously improving CLR's KPI/KRIs for senior leadership to provide reporting that is utilized proactively.
* Partner with strategic data leaders across the firm to drive results
* Support initiatives to improve the operational capabilities of the firm
* Prepare and present oral and written reports and presentations
* Develop and maintain client relationships and ensure client satisfaction

What 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.

Job Requirements:

* Bachelor's Degree in Finance, Business Administration or equivalent work experience
* 3+ years of finance, budgeting and data analytics support for Chief of Staff or COO within financial industry. Excellent analytics capabilities, decision making and problem solving skills.
* 3+ years of experience running KPIs and KRIs for monthly reporting. Team player who is comfortable working in a dynamic and fast-paced environment with minimal supervision
* Ability to interact confidently with senior management
* Excellent verbal and written communication skills
* Balance multiple projects and other responsibilities
* Highly proficient with Excel & Powerpoint

Preferences:

* Tableau, Python, and/or SQL knowledge
* FINRA Series 7 and Series 24 licenses a plus
* Working knowledge of SEC, FINRA, and MSRB rules.
* Extensive knowledge of Compliance and Risk functions within a Broker/Dealer and Investment Advisory organization

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 (800) 877-7210.

VP, Branch Exams (remote)

LPL Financial Services
Remote or California
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 a team that is working to transform and do things differently? If so, LPL Financial is the place for you!
Excited to learn more? If so, then this could be the role for you!

LPL Financial (Nasdaq: LPLA) was founded on the principle that the firm should work for the advisor, and not the other way around. Today, LPL is a leader* in the markets we serve, supporting more than 19,000 financial advisors, 800 institution-based investment programs and 450 independent RIA firms nationwide. We are steadfast in our commitment to the advisor-centered model and the belief that Americans deserve access to objective guidance from a financial advisor. At LPL, independence means that advisors have the freedom they deserve to choose the business model, services, and technology resources that allow them to run their perfect practice. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors, so they can take care of their clients.

The VP, Branch Examinations is apart of LPL's Compliance, Legal and Risk (CLR) organization. This role will provide advice, guidance and expertise to Branch Examination teams. The successful candidate will ensure that regulatory and compliance risks are appropriately identified, measured, analyzed, reported and managed. As a risk and compliance professional, the VP will provide direction to staff on all aspects of the examination process in accordance with federal and state regulations, FINRA and other SRO regulations and LPL Financial policies and procedures. The VP candidate will strengthen their team by way of support from the home office, in-the-field support, regular coaching and feedback on employee performance, goal setting and attainment and customize ongoing training as needed. Periodic overnight travel will be required. In addition to managing a team, the VP will support Sr Leadership in executing the goals and objectives of the branch examination program.

Essential Functions:

* Manage nationwide team of Examiners in daily operations around conducting assigned examinations; pre-audit, audit and post-audit phases. These phases include but are not limited to report analysis, on-site examination assistance, internal coordination of issues/escalations, mediation with office complexes and other necessary audit responsibilities.
* Develops and maintains a comprehensive regulatory compliance management program to ensure all areas comply with state and federal regulations.
* Ensures all compliance deficiencies are corrected in a timely manner.
* Provides leadership, coaching, employee training, problem resolution, and day-to-day functional guidance to Compliance staff.
* Advancing and overseeing productivity and efficiency initiatives within the team.
* Advancing talent management efforts within the team.
* Engaging with key internal partners on various relevant risk mitigation activities and initiatives.
* Engaging with key external partners (vendors, peers at other firms, industry committees) for benchmarking and information sharing to facilitate building a best in class program.
* Drive the organization through the maturity levels of data analytics as the organization starts adopting data governance best practices.
* Confidently represent, present and articulate the work performed by staff and the overall Branch Exams team with internal departments, during arbitration matters, to regulators, firm prospects and local, regional and national conferences and events.

Qualifications:

* Minimum of 10 years of relevant experience in securities regulation, compliance investigations, auditing and/or compliance experience
* Minimum of 5 years of management experience in leading a team and overseeing complex processes required.
* BA/BS degree or equivalent industry experience required
* Series 7, 24 and 63 preferred
* Experience in implementing compliance technology platforms and tools (e.g. Actimize, Mantas) preferred
* Working knowledge of data analytics preferred

Required Skills:

* Excellent written and oral communication and presentation skills
* Ability to synthesize volumes of complex information and distill it into varying degrees of detail for various audiences, including senior management of the Firm
* Ability to prioritize key deliverables, multi-task and work well under pressure and tight deadlines
* Strong PC skills, including Microsoft Office tools

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 (800) 877-7210.

Internal Audit Staff - IT

LPL Financial Services
Remote or Fort Mill, SC
LPL Financial (Nasdaq: LPLA) was founded on the principle that the firm should work for the advisor, and not the other way around. Today, LPL is a leader* in the markets we serve, supporting more than 19,000 financial advisors, 800 institution-based investment programs and 450 independent RIA firms nationwide. We are steadfast in our commitment to the advisor-centered model and the belief that Americans deserve access to objective guidance from a financial advisor. At LPL, independence means that advisors have the freedom they deserve to choose the business model, services, and technology resources that allow them to run their perfect practice. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors, so they can take care of their clients.

We are currently looking to hire an Information Technology Risk Auditor to help identify, assess and report risks within LPL's Technology department. This individual will be responsible for executing information technology (IT) internal audits, Sarbanes-Oxley control testing, process reviews and various ad hoc projects assigned to them.

This role is hybrid working from home & in office based out of our San Diego, Fort Mill, or Kansas City office
Responsibilities:

* Provide high quality, professional day-to-day execution of internal audit engagements and projects in line with Internal Audit practices
* Develop audit programs, working papers, and internal audit reports
* Assess business risks and evaluate the effectiveness of controls at the network, operating system, database and application levels
* Develop strong working relationships with Technology personnel that promote efficient audit execution.
* Interact internally with staff, management, and occasionally senior management
* Maintain and enhance skills through on-going education and training activities to support company needs

What 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:

* Experience with IT, including IT security, risk assessment or compliance
* Undergraduate degree in Management Information Systems, Computer Science or related discipline
* Pursuing or attained one applicable audit designation (CIA, CFE, CISA, CISSP, etc.)
* Excellent written and verbal skills and demonstrated ability to present complex issues to management
* A helpful, respectful and personable approach to client and coworker interactions
* Personal pride in delivering exceptional experiences to clients and coworkers

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 (800) 877-7210.

Internal Audit Staff - IT

LPL Financial Services
Remote or Overland Park, KS
LPL Financial (Nasdaq: LPLA) was founded on the principle that the firm should work for the advisor, and not the other way around. Today, LPL is a leader* in the markets we serve, supporting more than 19,000 financial advisors, 800 institution-based investment programs and 450 independent RIA firms nationwide. We are steadfast in our commitment to the advisor-centered model and the belief that Americans deserve access to objective guidance from a financial advisor. At LPL, independence means that advisors have the freedom they deserve to choose the business model, services, and technology resources that allow them to run their perfect practice. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors, so they can take care of their clients.

We are currently looking to hire an Information Technology Risk Auditor to help identify, assess and report risks within LPL's Technology department. This individual will be responsible for executing information technology (IT) internal audits, Sarbanes-Oxley control testing, process reviews and various ad hoc projects assigned to them.

This role is hybrid working from home & in office based out of our San Diego, Fort Mill, or Kansas City office
Responsibilities:

* Provide high quality, professional day-to-day execution of internal audit engagements and projects in line with Internal Audit practices
* Develop audit programs, working papers, and internal audit reports
* Assess business risks and evaluate the effectiveness of controls at the network, operating system, database and application levels
* Develop strong working relationships with Technology personnel that promote efficient audit execution.
* Interact internally with staff, management, and occasionally senior management
* Maintain and enhance skills through on-going education and training activities to support company needs

What 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:

* Experience with IT, including IT security, risk assessment or compliance
* Undergraduate degree in Management Information Systems, Computer Science or related discipline
* Pursuing or attained one applicable audit designation (CIA, CFE, CISA, CISSP, etc.)
* Excellent written and verbal skills and demonstrated ability to present complex issues to management
* A helpful, respectful and personable approach to client and coworker interactions
* Personal pride in delivering exceptional experiences to clients and coworkers

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 (800) 877-7210.

AVP, Associate Counsel Privacy (remote)

LPL Financial Services
Remote or California
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 a team that is working to transform and do things differently? If so, LPL Financial is the place for you!
Excited to learn more? If so, then this could be the role for you!

LPL Financial (Nasdaq: LPLA) was founded on the principle that the firm should work for the advisor, and not the other way around. Today, LPL is a leader* in the markets we serve, supporting more than 19,000 financial advisors, 800 institution-based investment programs and 450 independent RIA firms nationwide. We are steadfast in our commitment to the advisor-centered model and the belief that Americans deserve access to objective guidance from a financial advisor. At LPL, independence means that advisors have the freedom they deserve to choose the business model, services, and technology resources that allow them to run their perfect practice. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors, so they can take care of their clients.

LPL is looking for an Assistant Vice President, Associate Counsel Privacy to join its Privacy Office, which is part of LPL's Compliance, Legal and Risk organization. This role is focused primarily on the coverage of privacy risks inherent in the collection, use and sharing of personal information. The position requires a wide breadth of privacy knowledge and working with cross-functional teams in legal/ risk/ compliance to advise and oversee the business on data privacy issues.

The individual will work closely with technology, data governance, product management, information security and business owners to develop and implement strategies and initiatives with respect to privacy and disclosure requirements. Must be skilled at navigating complex and nuanced privacy and data protection issues in a strategic manner.

Principal Accountabilities:

* Analyze and apply laws and provide legal advice regarding regulations and corporate policies related to:
* California Privacy Rights Act (CPRA) and California Consumer Privacy Act (CCPA);
* The EU General Data Protection Regulation and other international privacy laws and regulations;
* US privacy laws, including GLBA, Regulation S-P, and U.S. state privacy laws;
* FCC and FTC consumer privacy rules, including TCPA, email marketing and CAN-SPAM;
* Biometrics, Geo-location, e-Commerce, and return to office matters;
* Collection and use of Data and Personal Information, analytics and issues associated with governance of the information life cycle;
* HIPAA and related regulations.

* Drive privacy compliance and priorities related to overseeing compliance with data privacy laws, rules and regulations and adherence to the company's policies.
* Collaborate across the privacy team, lead in the development and implementation of monitoring and testing coverage plans, privacy risk assessments, business process assessments, and privacy reviews for third parties handling personal information.
* Evaluate business line initiatives and processes from a privacy risk perspective.
* Stay up-to-date with emerging information use and privacy-related legislation and regulations both foreign and domestic. Monitor the regulatory environment to identify regulatory changes applicable to area(s) of coverage, advises business leaders on those changes, direct the appropriate areas to implement or amend policies, standards, procedures and/or processes to address regulatory requirements, and challenge the implementation plan as needed; maintain a comprehensive regulatory inventory.
* Develop positive cross-departmental working relationships to maintain an open environment for collaboration, risk identification and escalation.

Qualifications:

* JD from a nationally accredited law school; admitted to practice law, and in good standing, in at least one jurisdiction in the U.S.
* Minimum 3-5 years of direct experience in Privacy including implementing and overseeing privacy laws, rules, regulations.
* The attorney must have a working of knowledge of state/federal privacy laws including GLBA and CCPA. Prior experience in the financial services industry is a plus.
* Proficiency advising risk and compliance managers and other attorneys in the above areas, and supporting them in the development of practical operational processes that control risk and ensure compliance.
* Familiarity with privacy issues arising in the employment context.
* Ability to work with a wide variety of people, at all levels in the organization, in a fast paced environment.
* Strong organizational and project management skills, including the ability to handle multiple projects and manage deadlines in a fast-paced and demanding work environment.
* Excellent written and oral communication.

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 (800) 877-7210.

Internal Audit Staff - IT

LPL Financial Services
Remote or San Diego, CA
LPL Financial (Nasdaq: LPLA) was founded on the principle that the firm should work for the advisor, and not the other way around. Today, LPL is a leader* in the markets we serve, supporting more than 19,000 financial advisors, 800 institution-based investment programs and 450 independent RIA firms nationwide. We are steadfast in our commitment to the advisor-centered model and the belief that Americans deserve access to objective guidance from a financial advisor. At LPL, independence means that advisors have the freedom they deserve to choose the business model, services, and technology resources that allow them to run their perfect practice. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors, so they can take care of their clients.

We are currently looking to hire an Information Technology Risk Auditor to help identify, assess and report risks within LPL's Technology department. This individual will be responsible for executing information technology (IT) internal audits, Sarbanes-Oxley control testing, process reviews and various ad hoc projects assigned to them.

This role is hybrid working from home & in office based out of our San Diego, Fort Mill, or Kansas City office
Responsibilities:

* Provide high quality, professional day-to-day execution of internal audit engagements and projects in line with Internal Audit practices
* Develop audit programs, working papers, and internal audit reports
* Assess business risks and evaluate the effectiveness of controls at the network, operating system, database and application levels
* Develop strong working relationships with Technology personnel that promote efficient audit execution.
* Interact internally with staff, management, and occasionally senior management
* Maintain and enhance skills through on-going education and training activities to support company needs

What 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:

* Experience with IT, including IT security, risk assessment or compliance
* Undergraduate degree in Management Information Systems, Computer Science or related discipline
* Pursuing or attained one applicable audit designation (CIA, CFE, CISA, CISSP, etc.)
* Excellent written and verbal skills and demonstrated ability to present complex issues to management
* A helpful, respectful and personable approach to client and coworker interactions
* Personal pride in delivering exceptional experiences to clients and coworkers

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 (800) 877-7210.

AVP, Associate Counsel Privacy (remote)

LPL Financial Services
Remote or Fort Mill, SC
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 a team that is working to transform and do things differently? If so, LPL Financial is the place for you!
Excited to learn more? If so, then this could be the role for you!

LPL Financial (Nasdaq: LPLA) was founded on the principle that the firm should work for the advisor, and not the other way around. Today, LPL is a leader* in the markets we serve, supporting more than 19,000 financial advisors, 800 institution-based investment programs and 450 independent RIA firms nationwide. We are steadfast in our commitment to the advisor-centered model and the belief that Americans deserve access to objective guidance from a financial advisor. At LPL, independence means that advisors have the freedom they deserve to choose the business model, services, and technology resources that allow them to run their perfect practice. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors, so they can take care of their clients.

LPL is looking for an Assistant Vice President, Associate Counsel Privacy to join its Privacy Office, which is part of LPL's Compliance, Legal and Risk organization. This role is focused primarily on the coverage of privacy risks inherent in the collection, use and sharing of personal information. The position requires a wide breadth of privacy knowledge and working with cross-functional teams in legal/ risk/ compliance to advise and oversee the business on data privacy issues.

The individual will work closely with technology, data governance, product management, information security and business owners to develop and implement strategies and initiatives with respect to privacy and disclosure requirements. Must be skilled at navigating complex and nuanced privacy and data protection issues in a strategic manner.

Principal Accountabilities:

* Analyze and apply laws and provide legal advice regarding regulations and corporate policies related to:
* California Privacy Rights Act (CPRA) and California Consumer Privacy Act (CCPA);
* The EU General Data Protection Regulation and other international privacy laws and regulations;
* US privacy laws, including GLBA, Regulation S-P, and U.S. state privacy laws;
* FCC and FTC consumer privacy rules, including TCPA, email marketing and CAN-SPAM;
* Biometrics, Geo-location, e-Commerce, and return to office matters;
* Collection and use of Data and Personal Information, analytics and issues associated with governance of the information life cycle;
* HIPAA and related regulations.

* Drive privacy compliance and priorities related to overseeing compliance with data privacy laws, rules and regulations and adherence to the company's policies.
* Collaborate across the privacy team, lead in the development and implementation of monitoring and testing coverage plans, privacy risk assessments, business process assessments, and privacy reviews for third parties handling personal information.
* Evaluate business line initiatives and processes from a privacy risk perspective.
* Stay up-to-date with emerging information use and privacy-related legislation and regulations both foreign and domestic. Monitor the regulatory environment to identify regulatory changes applicable to area(s) of coverage, advises business leaders on those changes, direct the appropriate areas to implement or amend policies, standards, procedures and/or processes to address regulatory requirements, and challenge the implementation plan as needed; maintain a comprehensive regulatory inventory.
* Develop positive cross-departmental working relationships to maintain an open environment for collaboration, risk identification and escalation.

Qualifications:

* JD from a nationally accredited law school; admitted to practice law, and in good standing, in at least one jurisdiction in the U.S.
* Minimum 3-5 years of direct experience in Privacy including implementing and overseeing privacy laws, rules, regulations.
* The attorney must have a working of knowledge of state/federal privacy laws including GLBA and CCPA. Prior experience in the financial services industry is a plus.
* Proficiency advising risk and compliance managers and other attorneys in the above areas, and supporting them in the development of practical operational processes that control risk and ensure compliance.
* Familiarity with privacy issues arising in the employment context.
* Ability to work with a wide variety of people, at all levels in the organization, in a fast paced environment.
* Strong organizational and project management skills, including the ability to handle multiple projects and manage deadlines in a fast-paced and demanding work environment.
* Excellent written and oral communication.

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 (800) 877-7210.

AVP, Associate Counsel Privacy (remote)

LPL Financial Services
Remote or Boston, MA
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 a team that is working to transform and do things differently? If so, LPL Financial is the place for you!
Excited to learn more? If so, then this could be the role for you!

LPL Financial (Nasdaq: LPLA) was founded on the principle that the firm should work for the advisor, and not the other way around. Today, LPL is a leader* in the markets we serve, supporting more than 19,000 financial advisors, 800 institution-based investment programs and 450 independent RIA firms nationwide. We are steadfast in our commitment to the advisor-centered model and the belief that Americans deserve access to objective guidance from a financial advisor. At LPL, independence means that advisors have the freedom they deserve to choose the business model, services, and technology resources that allow them to run their perfect practice. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors, so they can take care of their clients.

LPL is looking for an Assistant Vice President, Associate Counsel Privacy to join its Privacy Office, which is part of LPL's Compliance, Legal and Risk organization. This role is focused primarily on the coverage of privacy risks inherent in the collection, use and sharing of personal information. The position requires a wide breadth of privacy knowledge and working with cross-functional teams in legal/ risk/ compliance to advise and oversee the business on data privacy issues.

The individual will work closely with technology, data governance, product management, information security and business owners to develop and implement strategies and initiatives with respect to privacy and disclosure requirements. Must be skilled at navigating complex and nuanced privacy and data protection issues in a strategic manner.

Principal Accountabilities:

* Analyze and apply laws and provide legal advice regarding regulations and corporate policies related to:
* California Privacy Rights Act (CPRA) and California Consumer Privacy Act (CCPA);
* The EU General Data Protection Regulation and other international privacy laws and regulations;
* US privacy laws, including GLBA, Regulation S-P, and U.S. state privacy laws;
* FCC and FTC consumer privacy rules, including TCPA, email marketing and CAN-SPAM;
* Biometrics, Geo-location, e-Commerce, and return to office matters;
* Collection and use of Data and Personal Information, analytics and issues associated with governance of the information life cycle;
* HIPAA and related regulations.

* Drive privacy compliance and priorities related to overseeing compliance with data privacy laws, rules and regulations and adherence to the company's policies.
* Collaborate across the privacy team, lead in the development and implementation of monitoring and testing coverage plans, privacy risk assessments, business process assessments, and privacy reviews for third parties handling personal information.
* Evaluate business line initiatives and processes from a privacy risk perspective.
* Stay up-to-date with emerging information use and privacy-related legislation and regulations both foreign and domestic. Monitor the regulatory environment to identify regulatory changes applicable to area(s) of coverage, advises business leaders on those changes, direct the appropriate areas to implement or amend policies, standards, procedures and/or processes to address regulatory requirements, and challenge the implementation plan as needed; maintain a comprehensive regulatory inventory.
* Develop positive cross-departmental working relationships to maintain an open environment for collaboration, risk identification and escalation.

Qualifications:

* JD from a nationally accredited law school; admitted to practice law, and in good standing, in at least one jurisdiction in the U.S.
* Minimum 3-5 years of direct experience in Privacy including implementing and overseeing privacy laws, rules, regulations.
* The attorney must have a working of knowledge of state/federal privacy laws including GLBA and CCPA. Prior experience in the financial services industry is a plus.
* Proficiency advising risk and compliance managers and other attorneys in the above areas, and supporting them in the development of practical operational processes that control risk and ensure compliance.
* Familiarity with privacy issues arising in the employment context.
* Ability to work with a wide variety of people, at all levels in the organization, in a fast paced environment.
* Strong organizational and project management skills, including the ability to handle multiple projects and manage deadlines in a fast-paced and demanding work environment.
* Excellent written and oral communication.

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 (800) 877-7210.

Financial Advisor - First Community Bank

LPL Financial Services
Mountain Home, AR
Your career path should lead to real opportunity

LPL Financial partners with banks to offer a complete menu of financial services to bank clients. This employment opportunity at First Community Bank in Mountain Home, AR would allow you to join the Investment Program at First Community Bank as a Financial Advisor associated with LPL Financial. Under this model Financial Advisors are not employees of LPL Financial.

The Investment Program at First Community Bank supports the local community with a complete menu of financial services. You will join a team that is dedicated to helping clients in every stage of their financial life.

This exciting position will allow you to grow your career and business, helping the people and families that look to First Community Bank for financial solutions. This position will offer:

* The ability to build a strong client base with the Bank's exceptional referral system
* Several branch territories with significant deposit base, which includes current clients who need an advisor to support their financial goals
* The opportunity to find new clients via the bank's client base
* The opportunity to create client solutions without proprietary products
* The ability to grow your business with LPL's combination of tools, technology, and support
* The benefit of LPL's experience helping financial institutions grow and maximize their investment programs
* The opportunity to capitalize on the bank's reputation and community standing

As an advisor associated with LPL Financial, you benefit from our commitment to take care of you so you can take care of your clients. Your partnership includes:

* Access to our proprietary technology and a suite of customized services
* An open architecture platform with access to thousands of investment products from leading third-party product sponsors
* Resources and expertise across the firm to help you create client solutions
* The freedom to create solutions specific to your client's goals

Whatever your vision of success, we're with you every step of the way.

Requirements:

* Series 7 and 66 (63/65) required
* Insurance license required
* Three or more years of investment sales experience
*

Apply online at: By submitting an application, you are not applying for employment with LPL Financial. Employment is with First Community Bank, however, in accordance with regulatory requirements, LPL Financial would hold your securities/insurance licenses.

* REQUIRED DISCLOSURE(S)

These investment products and services are being offered through LPL or its affiliates, which are separate entities from, and not affiliates of, First Community Bank.

Tracking # 1-05026674

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 (800) 877-7210.

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