The Senior Vice President of Employee Investigations, Risk and Compliance plays an essential role in shaping the work environment by fostering positive relationships between the organization and its employees. This position is tasked with developing and implementing strategies, policies and practices that promote a culture of respect, fairness, and open communication. Through their efforts, they address and resolve workplace conflicts, ensure compliance with employment/labor laws and regulations, and work to improve job satisfaction and employee retention. The Senior Vice President provides oversight to: Employee Investigations, Risk Management and Compliance, to include Leave & Accommodation, Immigration, and Environment, Health & Safety.
Responsibilities:
- Develop and implement an Employee Investigations strategy
- Formulate a comprehensive strategy and approach, including technology platform and tools, for managing HR investigations, to support a positive work environment, solve for root cause and enhance employee engagement, in partnership with Employment Law.
- Partner with Employment Law and Regulatory Legal teams on HR investigations, to include investigations assigned to HR Investigations via the Whistleblower & Integrity Hotline.
- Develop a thorough concerns management and investigations strategy, ensuring prompt and equitable resolution of employee concerns, conflicts and misconduct issues, with other investigations teams.
- Employee Compliance and Risk Management
- Lead the design and implementation of a robust employee compliance and risk management strategy.
- Partner with and respond to requests from Enterprise Compliance, Internal Audit and Vendor Risk Management teams.
- Identify potential risks and implement proactive measures to mitigate them effectively.
- In partnership with Employment Law and Corporate Security, co-lead the Threat Management Team for assessment and the prevention of workplace violence.
- Oversee and develop compliant immigration policies and procedures that support the business and its talent strategy.
- Oversee and develop environment, health & safety policies and procedures to support a safe and healthy workplace.
- Leave & Accommodation Management
- Oversee and develop leave and accommodation policies and procedures, ensuring compliance with relevant employment laws and industry standards, while balancing organizational needs and employee wellbeing.
- Oversee the administration of leaves of absence and workplace accommodations.
- Metrics Monitoring and Analysis
- Monitor and evaluate employee investigations, risk and compliance metrics and trends; analyze data for root cause and drive continuous improvement in Employee Investigations, Risk & Compliance strategies and practices.
- Collaboration with Internal Partners
- Collaborate closely with key partners and stakeholders, to include: Employment Law; Regulatory Legal; Corporate Security; HRBPs; Diversity, Equity, Inclusion & Belonging; Learning & Development; HR Solutions Center, Employee Benefits, Enterprise Risk and Compliance, Internal Audit, and the business.
Requirements:
- Minimum of 10 years’ experience in Investigations, Compliance, and Risk Management or related experience.
- Strategic Thinking: Demonstrated ability to think strategically and develop long-term approaches to complex workforce relations challenges.
- Workforce Relations: Expertise in employment/labor laws, regulations and industry best practices related to leave and accommodation management, risk and compliance, immigration, environment, health & safety, and general workforce relations.
- Team Leadership: Success in leading teams and coaching talent to drive strong performance.
- Relationship Management: Strong interpersonal skills; ability to build and maintain effective relationships with stakeholders at all levels in the organization.
- Conflict Management: Proficiency in conflict resolution techniques; strong record of managing and resolving employee disputes effectively.
- Exempt and Non-Exempt Employee Experience: Experience setting strategy and policies for both hourly, non-exempt and exempt employees.
- Bachelor's degree in related field; Master’s preferred.
- Financial services experience preferred.
Pay Range:
$179,700.00 - $299,500.00
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!
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.
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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.
