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VP, Policy Management

Job ID: R-008196 Date posted: 11/22/2019 Primary Location SC-Fort Mill Other Locations MA-Boston , CA-San Diego

LPL is seeking a dynamic and accomplished compliance professional to serve as Vice President (VP), Policy Management.  This position will be part of the Product and Platform Compliance team within the Compliance, Legal and Risk (CLR) organization.

This individual can be located in either San Diego or Fort Mill. 

 Key Responsibilities:

  • Responsible for administration of firm’s policy management function including maintenance and administration of firm Compliance Manuals and Written Supervisory Procedures.   
  • Work collaboratively with business partners across CLR and the firm to identify and track policies that may require updates.
  • Responsible for contributing to the firm’s successful implementation policy governance and firm Policy on Policies.  
  • Assist in the design of policies, procedures and training related to new or evolving policy areas.
  • Work with senior management to administer the Policy Approval Group.  Specific responsibilities are as follows:
    • Work with subject matter experts to prepare the presentation of proposed new and revised policies to the Policy Approval Group.
    • Oversee Senior Analysts’ tracking and monitoring of policy implementation to ensure all required steps are completed in a timely manner and that implementation issues are raised to senior management.
  •  Develop the monthly Compliance Alert and other policy related communications
    • Work with subject matter experts on content and language.
    • Work with Corporate Communications to prepare the Alert for distribution.
    • Update the Compliance Alert subject matter index which is published on LPL@Work and the Resource Center.
  • Oversee firm’s Regulatory Change Management process
  • Actively participate in firm’s strategic policy transformation work.

Additional Essential Functions:

  • Interact with business leaders to help solve issues, improve advisor experience, and maintain a compliant and efficient growth environment
  • Promote a culture of high performance and continuous business process improvement that values learning and a commitment to quality, and drives efficiency using a proactive and anticipatory approach resulting in an enhanced advisor experience.
  • Interact and collaborate with the CLR management team, Legal, business leaders, regulators and government agencies and industry associations


  • Bachelor’s degree required; JD, MBA a plus
  • Securities licenses preferred
  • Minimum of 7+ years relevant experience
  • Ability to excel in a deadline driven environment
  • Problem solving skills that enable efficient identification of issues; structuring and execution of analysis; development of actionable recommendations; and implementation of those recommendations
  • Operates in a team environment with a focus on employee satisfaction
  • Self-reliant, results oriented

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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