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AVP, Govn, Risk & Compliance

Job ID: R-006470 Date posted: 04/24/2019 Primary Location CA-San Diego Other Locations MA-Boston

Position Summary:

The Trading & Operations Compliance Assistant Vice President will collaborate with other internal areas including trading, operations, and legal to monitor and address compliance practices and issues related to trading and operations. The focus of this position will be Operations Compliance.

Essential Functions:

  • Develop, review and implement desktop policies and procedures for second line compliance oversight of key operations functions and controls
  • Conduct compliance monitoring and testing of operations controls
  • Conduct full assessment of operation team procedures and controls to identify potential gaps and to determine if Operations Compliance oversight is necessary
  • Provide guidance on rules and regulations relating to operational issues and provide compliance approvals and interpretation of internal compliance policies. Proactively assist in interpreting new rules/rule changes that will impact operations
  • Coordinate with operations teams to assist with the implementation of new procedures and controls to meet new or changing regulatory requirements
  • Support the business in performing timely compliance reviews of new processes implemented by operations
  • Assist in the development and administration of compliance training and educational material for trading and/or operations
  • Serve as liaison between compliance and the trading desks, operations and other areas
  • Assist in regulatory inquiries and/or examinations
  • Coordinate with Internal Audit and Risk Management
  • Maintain subject matter expertise through on-going education and training activities


  • Bachelor’s degree in a related field of study
  • FINRA series 7 and 24 preferred
  • 7+ years’ experience in compliance
  • Significant Compliance experience with respect to operations
  • Strong knowledge of FINRA and SEC rules with a focus on operational requirements
  • BETA knowledge a plus
  • Strong communication skills, both written and verbal
  • Must be a self-starter, enjoy working in a fast paced environment and be comfortable communicating with all levels of management

Location: San Diego, CA or Boston, MA

About LPL Financial:

LPL Financial is a leader in the retail financial advice market and the nation’s largest independent broker/dealer*. We serve independent financial advisors and financial institutions, providing them with the technology, research, clearing and compliance services, and practice management programs they need to create and grow thriving practices. LPL enables them to provide objective guidance to millions of American families seeking wealth management, retirement planning, financial planning and asset management solutions. LPL and its affiliates have more than 3,700 employees with primary offices in Boston, Charlotte, and San Diego.

Our Culture:

If you join LPL, you will join a culture that believes in delivering a world-class client experience and looks to all employees to contribute to that goal by sharing their creativity, experience, and passion for continuous improvement. As a destination of choice, our top priorities are growth and development, social responsibility, and financial health for our employees. 

We offer competitive compensation and industry leading benefits, including a wellness facility with onsite fitness classes, healthy meal choices, and a walk-in clinic. We support employee financial health through a 401k match, ESPP, and employee discounts. Work/life balance is our foundation and is supported through paid holidays, and paid time off (including time to volunteer). We foster a diverse work environment through Employee Resource Groups and diverse strategic partnerships.  

Join the LPL team and help us make a difference by turning life’s aspirations into financial realities. Please login or create an account to apply to this position. Principals only. EOE

*As reported by Financial Planning magazine, June 1996-2017, based on total revenue.

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  • Compliance, Boston, Massachusetts, United StatesRemove
  • Compliance, San Diego, California, United StatesRemove