AVP- Conflicts ManagementApply Job ID: R-024174 Date posted: 06/21/2022 Primary Location SC-Fort Mill 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 18,000 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 personalized 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 AVP, Conflicts Management within LPL's Compliance, Legal and Risk (CLR) organization will lead the firm’s Conflicts Management and Sponsor Compliance programs and have responsibilities including but not limited to policies, procedures, training, education and the identification and inventorying of conflicts of interest as part of continuing efforts to build and strengthen the firm’s governance structure in this regard. This position requires excellent data, communication and writing skills, the ability to effectively interact with and influence all levels of staff including senior and executive management.
- Direct the firm’s Conflicts Management Office (CMO) and associated responsibilities, which include conflicts identification, evaluation, inventorying, disclosures and controls assessments;
- Manage the Sponsor Compliance team which oversees all Non-Cash Compensation policies, procedures and controls, including Due Diligence meeting approvals and advisor reimbursements;
- Serve as a subject matter expert who can empower key constituents through consultation and partnership ;
- Develop and deliver relevant training and educational content to address known and emerging risks;
- Effectively leverage data to track key program performance indicators, identify trends, and ensure projects and programs align to both CLR and firm priorities;
What are we looking for?
We want strong collaborators who can deliver a world-class client experience. We are looking for people who thrive in a fast-paced environment, are client-focused, team oriented, and are able to execute in a way that encourages creativity and continuous improvement.
- Bachelor’s degree in business or related field of study from an accredited college or university;
- 7-10 years of experience in the financial services industry, a majority of which has been spent in a compliance, risk management or similar role;
- Demonstrated experience implementing and developing compliance programs that support adherence to financial services regulations and/or prudent regulatory guidance.
- Ability to identify problem areas, analyze risk for LPL Financial and develop policy, procedure and controls to effectively supervise and mitigate said risk.
- Ability to work effectively in a team environment and across all organizational levels, where flexibility, collaboration and adaptability are important.
- 5+ years leadership/team management experience preferred.
- Superior verbal, written, and listening skills, with an ability to adapt to different audiences.
- Strong knowledge in all Microsoft applications; particularly, Excel, Word, Access, and PowerPoint
- Series 7, 66, and 24 preferred
- Ability to influence decisions and direction across the organization.
- Strong familiarity with the MS Office suite and Salesforce
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.
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.
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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.