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VP, Branch Exams (remote)

Job ID: R-019088 Date posted: 11/15/2021 Primary Location CA-Remote Other Locations CA-Remote

Are you a team player? Are you curious to learn? Are you interested in working in meaningful projects? Do you want to work with cutting-edge technology? Are you interested in being part of a team that is working to transform and do things differently? If so, LPL Financial is the place for you!

Excited to learn more? If so, then this could be the role for you!  

LPL Financial (Nasdaq: LPLA) was founded on the principle that the firm should work for the advisor, and not the other way around. Today, LPL is a leader* in the markets we serve, supporting more than 19,000 financial advisors, 800 institution-based investment programs and 450 independent RIA firms nationwide. We are steadfast in our commitment to the advisor-centered model and the belief that Americans deserve access to objective guidance from a financial advisor. At LPL, independence means that advisors have the freedom they deserve to choose the business model, services, and technology resources that allow them to run their perfect practice. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors, so they can take care of their clients.

The VP, Branch Examinations is apart of LPL’s Compliance, Legal and Risk (CLR) organization. This role will provide advice, guidance and expertise to Branch Examination teams. The successful candidate will ensure that regulatory and compliance risks are appropriately identified, measured, analyzed, reported and managed. As a risk and compliance professional, the VP will provide direction to staff on all aspects of the examination process in accordance with federal and state regulations, FINRA and other SRO regulations and LPL Financial policies and procedures. The VP candidate will strengthen their team by way of support from the home office, in-the-field support, regular coaching and feedback on employee performance, goal setting and attainment and customize ongoing training as needed. Periodic overnight travel will be required.  In addition to managing a team, the VP will support Sr Leadership in executing the goals and objectives of the branch examination program. 

Essential Functions:

  • Manage nationwide team of Examiners in daily operations around conducting assigned examinations; pre-audit, audit and post-audit phases. These phases include but are not limited to report analysis, on-site examination assistance, internal coordination of issues/escalations, mediation with office complexes and other necessary audit responsibilities.
  • Develops and maintains a comprehensive regulatory compliance management program to ensure all areas comply with state and federal regulations.
  • Ensures all compliance deficiencies are corrected in a timely manner.
  • Provides leadership, coaching, employee training, problem resolution, and day-to-day functional guidance to Compliance staff.
  • Advancing and overseeing productivity and efficiency initiatives within the team.
  • Advancing talent management efforts within the team.
  • Engaging with key internal partners on various relevant risk mitigation activities and initiatives.
  • Engaging with key external partners (vendors, peers at other firms, industry committees) for benchmarking and information sharing to facilitate building a best in class program.
  • Drive the organization through the maturity levels of data analytics as the organization starts adopting data governance best practices.
  • Confidently represent, present and articulate the work performed by staff and the overall Branch Exams team with internal departments, during arbitration matters, to regulators, firm prospects and local, regional and national conferences and events.


  • Minimum of 10 years of relevant experience in securities regulation, compliance investigations, auditing and/or compliance experience
  • Minimum of 5 years of management experience in leading a team and overseeing complex processes required.
  • BA/BS degree or equivalent industry experience required
  • Series 7, 24 and 63 preferred
  • Experience in implementing compliance technology platforms and tools (e.g. Actimize, Mantas) preferred
  • Working knowledge of data analytics preferred

Required Skills:

  • Excellent written and oral communication and presentation skills
  • Ability to synthesize volumes of complex information and distill it into varying degrees of detail for various audiences, including senior management of the Firm
  • Ability to prioritize key deliverables, multi-task and work well under pressure and tight deadlines
  • Strong PC skills, including Microsoft Office tools

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.

Want to hear from our employees on what it’s like to work at LPL?  Watch this!

We take social responsibility seriously. Learn more here

Want to see info on our benefits?  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 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 (800) 877-7210.

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