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AVP, Electronic Communication Compliance

Job ID: R-006278 Date posted: 07/10/2019 Primary Location CA-San Diego Other Locations SC-Fort Mill

We are searching for an Assistant Vice President (AVP) to lead a team within the electronic communication (eComm) compliance team. As the AVP of Electronic Communication Compliance, you will be responsible for ensuring that controls related to eComm compliance are performed properly and are effective, any issues identified are remediated, and requests for historic message traffic are fulfilled.  

Specifically, you will:

  • Lead a small team, managing their engagement and performance
  • Ensure certain controls related to the capture, archival, retrieval, and supervision of electronic messages are performed to minimize related risks to the firm and our advisors
  • If missing messages are identified, undertake efforts to obtain them
  • Successfully fulfill requests for historic messages transmitted to or from LPL employees or registered advisors
  • Optimize the processes within their scope of responsibility to deliver a deliberate and positive experience and to achieve greater efficiency and quality
  • Manage supporting systems and vendors to optimize our capabilities to perform the above, including offshore resources

Qualifications:

  • Bachelor’s degree from four-year College or University
  • 7+ years related experience in eComm and compliance
  • Experience managing processes that directly relate to fulfilling regulatory requirements or are related to fulfilling regulatory/legal requests (legal discovery)
  • Demonstrated technical acumen, with related experience in one or more of the following areas preferred: Microsoft exchange, social media, data management, data transfer
  • Strong leadership abilities, customer support, collaboration, problem solving, communication, and organizational skills
  • FINRA certifications a plus

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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  • Compliance, Fort Mill, South Carolina, United StatesRemove
  • Compliance, San Diego, California, United StatesRemove