AVP, Compliance Operations

Do you enjoy learning about new technology, and understanding the ins and outs of what makes it work? Do you excel at using data to help identify improvement opportunities and drive decision making? Are you a detail-oriented person who enjoys leading teams while working on a diverse set of tasks and projects?

Excited to learn more? If so, then this could be the role for you! The Electronic Communications Compliance (eComm) team within the Compliance Operations organization is seeking an Assistant Vice President, Compliance to help us ensure the technology we use follows all of the regulatory guidelines related to CARS (Capture, Archive, Retrieve, and Supervise). In this role, you will be leading the team responsible for the ongoing oversight, governance, and control performance necessary to ensure compliant electronic communications at LPL.

Responsibilities:

• Manage a team of Compliance professionals tasked with ensuring ongoing compliance with regulatory requirements across all electronic communications platforms.

• Administer the creation, execution, and oversight of reasonably designed control frameworks designed to prevent and detect deficiencies within LPL’s electronic communication ecosystem.

• Oversee control performance and ensure that key eComm controls are performed within appropriate guidelines given the risk profile.

• Effectively synthesize information to educate and inform stakeholders, team members, and Compliance leadership.

• Design and execute ongoing communication plans and awareness campaigns.

• Manage and support firm-wide risk and compliance activities for digital tools that contain electronic communication. Electronic communication may include, but is not limited to email, text messaging, chat/instant messaging, social media, marketing automation, appointment scheduling, and web-portals.

• Work closely with business and technology stakeholders to identify use cases that enable written electronic communication. Support the team in developing requirements, conducting testing, and creating oversight models to support the compliant delivery of these capabilities.

• Act as a subject matter expert for the firm related to all thing's electronic communications compliance.

• Be a servant leader tirelessly focused on providing the vision, support, guidance, and resources necessary to ensure the most highly engaged and effective team.

• Within the 90 days of starting this role you will have a fundamental understanding of LPL’s eComm ecosystem and control framework, as well as the regulatory environment and relevant laws governing electronic communications compliance (SEC 17a-3, SEC 17a-4, FINRA 2210, etc.).

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:

• 7+ years of experience working in a compliance or similarly focused role in the financial services industry. Experience in technology a plus.

• 3+ years of experience as a people leader.

Preferences:

• Knowledge of electronic communication capabilities, with an emphasis on email, instant messaging, SMS messaging, social media, and appointment scheduling capabilities a plus.

• Team player with outstanding communication skills and emotional intelligence.

• Must be highly adaptable and be comfortable with performing a wide variety of tasks.

• FINRA Series 7/24 preferred.

 #LI-PA

Pay Range:

$101,925-$169,875/year
 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) was founded on the principle that the firm should work for advisors and institutions, and not the other way around. Today, LPL is a leader in the markets we serve, serving more than 23,000 financial advisors, including advisors at approximately 1,000 institutions and at approximately 580 registered investment advisor ("RIA") firms nationwide. We are steadfast in our commitment to the advisor-mediated model and the belief that Americans deserve access to personalized guidance from a financial professional.

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.

Join LPL Financial: Where Your Potential Meets Opportunity

At LPL Financial, we believe that everyone deserves objective financial guidance. As the nation’s leading independent broker-dealer, we offer an integrated platform of cutting-edge technology, brokerage, and investment advisor services.

Why LPL?

• Innovative Environment: We foster creativity and growth, providing a supportive and responsive leadership team. Learn more about our leadership team here!

• Limitless Career Potential: Your career at LPL has no limits, only amazing potential. Learn more about our careers here!

• Unified Mission: We are one team on one mission—taking care of our advisors so they can take care of their clients. Learn more about our mission and values here!

• Impactful Work: Our size is just right for you to make a real impact. Learn more here!

• Commitment to Equality: We support workplace equality and embrace diverse perspectives and backgrounds. Learn more here!

• Community Focus: We care for our communities and encourage our employees to do the same. Learn more here!

• Benefits and Total Rewards: Our Total Rewards package goes beyond just compensation and insurance. It includes a mix of traditional and unique benefits, perks, and resources designed to enhance your life both at work and at home. 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 (855) 575-6947.

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