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Assistant Vice President – Insider Trading and Control Room

Job ID: R-000083 Date posted: 03/06/2018 Primary Location SC-Fort Mill

The Assistant Vice President – Insider Trading and Control Room will be responsible for conducting in-depth reviews and investigations into alerts involving potential insider trading, front-running and other forms of market manipulation.  The responsibilities also include review and assessment of related risk control activities performed by the firm and its associated persons, and making recommendations to management regarding surveillances, process and work flow enhancements and training.   The role may also involve responsibility for managing a small team performing similar functions.  This position reports to the Vice President of Surveillance with the Firm’s Compliance, Legal & Risk (CLR) organization.

Essential Functions:

  • Conduct complex reviews and investigations into allegations and alerts indicative of potential insider trading, front-running and other forms of market manipulation by end-investors, employees or financial advisors affiliated with the Firm
  • Conduct reviews and assessments of the related risk control activities performed by the firm and its associated persons
  • Make recommendations to management regarding remedial actions, and control enhancements
  • Effectively communicate with external branch office personnel (OSJs, Advisors, administrative assistants)
  • Partner with internal departments to thoroughly investigate potentially suspicious or violative activity and related risk mitigation activities
  • Collaborate with the broader team to implement initiatives and projects sponsored and approved by management
  • Assist in developing and providing internal training on the Firm’s control programs, policies, and procedures.
  • Act as a resource and provide guidance to team members on challenging investigations


  • Bachelor’s degree and/or equivalent experience preferred
  • Professional degrees/licenses/certifications (i.e., JD, FINRA Series 7, CAMS, CFE) preferred
  • Minimum of 5 years of experience in compliance, legal or related investigative roles at a self-regulatory organization and/or a broker dealer
  • Knowledge of brokerage related policy and control frameworks
  • Knowledge of FINRA, SEC and other SRO rules as well as the regulatory landscape

Required Skills:

  • High level of analytical skills and problem-solving
  • Ability to multi-task, work well under pressure with commitment to deliver under tight deadlines
  • Working knowledge of  trading and surveillance systems
  • Strong PC skills (Microsoft Office with emphasis on Excel)
  • Excellent written and oral communication skills with the ability to present information in differing degrees of details and form depending on the audience
  • Strong judgment and experience with escalation of matters and recommended solutions

Our Company:

LPL Financial, the nation’s largest independent broker/dealer since 1996* and the fourth largest broker/dealer overall, serves as an enabling partner to more than 14,000 independent financial advisors and approximately 700 financial institutions. Since its formation decades ago, LPL has focused on one primary mission -- enabling independent financial advisors to bring objective and un-biased financial advice to millions of Americans. 

Headquartered in Boston, San Diego, and Fort Mill, and powered by more than 3,300 client-centric employees, LPL is financially strong and growing.

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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