Reuben Clarke
Assistant Vice President, Technology Risk - Risk Governance and Reporting @LPL Financial
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WORK HISTORY
Assistant Vice President, Technology Risk - Risk Governance and Reporting @LPL Financial
Spearheaded cross-enterprise governance initiatives, overseeing a team of six analysts to strengthen LPL’s risk posture, audit readiness, and regulatory compliance in alignment with OCC and SEC expectations.• Orchestrated the firmwide adoption of a centralized Issues Management Dashboard, enhancing executive visibility into risk and audit findings across business lines, and enabling an acceleration in remediation throughput.• Expedited the closure of legacy audit findings by convening multi-functional working groups across infrastructure, security, and application teams—resolving high-impact issues in database security, privileged access, and disaster recovery.• Substantiated the firm’s risk posture through quarterly control environment assessments, enabling leadership to recalibrate the risk appetite framework and align budget allocations with systemic gaps.• Navigated regulatory scrutiny by translating audit observations into actionable control enhancements, resulting in successful validation of corrective actions during OCC and FINRA examinations.
EDUCATION
Virginia Tech
Bachelor of Science (BS), Accounting and Information Systems
ABOUT REUBEN CLARKE
Seasoned Risk & Controls Leader with a proven track record spanning Fortune 500 financial institutions, Global Big 4 advisory, and federal audit environments. Recognized for operationalizing enterprise risk governance frameworks that strengthen control assurance, expedite audit remediation, and elevate regulatory posture. Specialized fluency in technology risk management, internal audit liaison strategy, and regulatory engagement—driving alignment with OCC, SEC, FRB, and NYDFS standards. Respected force multiplier in environments of scrutiny, or transformation; trusted to lead through complexity, institutionalize accountability, and embed risk intelligence into the core of enterprise decisions.
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