Where Ambition Meets Innovation

Build a career that matches all your initiative with an impressive dose of innovation. From cutting-edge resources and a collaborative environment to the freedom to make an impact and more, you’ll find the ingredients you need at LPL Financial to shape your success while helping clients pursue their financial goals.

Job Overview

The Risk Assessor is responsible for performing third-party risk assessments and evaluating vendor control environments. This role supports the Third Party Risk Management (TPRM) program by identifying risks, documenting findings, and partnering with internal stakeholders and external vendors to ensure appropriate mitigation and compliance with regulatory standards.

Responsibilities

• Perform third-party risk assessments using standardized questionnaires (e.g., SIG, CAIQ) and due diligence reviews

• Analyze documentation including SOC reports, ISO certifications, and audit artifacts to evaluate control effectiveness

• Identify and document security, compliance, and operational risks and translate findings into business impacts

• Develop and track remediation plans in collaboration with vendors and internal stakeholders

• Monitor vendor risk posture using risk scoring tools and ongoing monitoring processes

• Support regulatory compliance by validating adherence to applicable laws, regulations, and internal policies

• Partner with cross-functional teams including Legal, Procurement, IT, Compliance, and business units

• Prepare reports and dashboards summarizing risk assessments and vendor risk posture

• Support internal and external audits by providing documentation and program evidence

• Contribute to the development and enhancement of third-party risk management policies, procedures, and tools

• Maintain knowledge of industry frameworks and standards including ISO 27001, NIST, and SOC reporting

• Manage multiple assessments and priorities in alignment with established service level agreements

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

• 3–5 years of experience in third-party risk management, vendor risk, or information security within a regulated industry

• Experience using governance, risk, and compliance (GRC) tools (e.g., OneTrust)

• Working knowledge of risk and compliance frameworks such as ISO 27001, NIST, SOC reporting, or similar standards

• Proficiency with Microsoft Office applications, including Excel, Word, PowerPoint, and SharePoint

• Bachelor’s degree or equivalent combination of education and relevant work experience

Preferences

• Professional certifications related to third-party risk, information security, or compliance (e.g., CISA, CISM, CRISC)

• Experience using continuous monitoring tools such as SecurityScorecard or BitSight

• Experience supporting audits or regulatory reviews

#LI-PA

 

Pay Range:

$79,825.00 - $132,973.00

 

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) is among the fastest growing wealth management firms in the U.S. As a leader in the financial advisor-mediated marketplace(6) , LPL supports over 32,000 financial advisors and the wealth management practices of approximately 1,100 financial institutions, servicing and custodying approximately $2.3 trillion in brokerage and advisory assets on behalf of approximately 8 million Americans. The firm provides a wide range of advisor affiliation models, investment solutions, fintech tools and practice management services, ensuring that advisors and institutions have the flexibility to choose the business model, services, and technology resources they need to run thriving businesses. For further information about LPL, please visit www.lpl.com.

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.

For further information about LPL, please visit www.lpl.com.

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.

EAC 5.19.26