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AVP, Compliance and Controls Testing

Job ID: R-016009 Date posted: 09/27/2021 Primary Location SC-Fort Mill

Do you have a passion for developing innovative systems to manage risk

Would you like to work in a fast-paced and collaborative environment? 
Have you executed compliance risk assessments or control design and effectiveness testing?

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

The AVP, Compliance Controls and Assessment Testing, is a key member of the Compliance function responsible for assessing compliance risk and evaluating the design of the firm’s compliance control framework. The Role is responsible for leading execution of compliance controls assessments and supporting the development of the compliance testing methodology and function.

What will you do?

  • Lead engagements to conduct a risk-based evaluation of the design and effectiveness of processes and controls to mitigate risks from non-compliance with rules, laws and regulation
  • Coach, educate, and mentor colleagues on the CCAT team on best practices related to compliance testing
  • Support the development of the testing methodology to assess control frameworks against compliance risks and regulatory obligations
  • Consult on the development of controls and help address control gaps and weaknesses
  • Assist with the annual process to prepare the FINRA 3120/3130 and Investor Adviser Annual Review reports

What does your success look like in the first 90 days?

Within 90 days, this candidate should participate in the full lifecycle of a testing engagement, assume a lead testing role in an engagement, and develop a point of view on how to enhance the testing methodology and support the skills development for all testing team members.

What skills, experiences, and education are required?

  • Extensive knowledge of broker-dealer and/or investment advisor regulatory obligations
  • Substantial experience conducting risk assessments and / or testing for a financial services company.
  • Ability to work independently to drive program forward with minimal oversight
  • Ability to work with and communicate effectively to various levels throughout the organization through regular interaction with Senior and Executive Management across LPL
  • Strong analytical skills with high attention to detail and accuracy

About CLR The Compliance, Legal & Risk (CLR) team is focused on delivering an industry-leading client service and risk management experience by providing advisors and our internal business partners with proactive guidance, advice, advocacy and consultative partnerships.

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 @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 (800) 877-7210.

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  • Compliance, Fort Mill, South Carolina, United StatesRemove