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AVP, Fraud Risk

Job ID: R-007793 Date posted: 09/30/2019 Primary Location SC-Fort Mill
  • The AVP, Fraud Risk will be located in our Fort Mill, SC office and report to the VP, Surveillance & Investigations, within LPL’s Compliance, Legal and Risk (CLR) organization. 

Key Responsibilities:

  • Developing a common fraud threat taxonomy
  • Assisting in the design and development of LPL’s comprehensive fraud program
  • Maintaining LPL’s Fraud Policy
  • In conjunction with Corporate Audit, conduct an enterprise-wide fraud risk assessment
  • In conjunction with Operations, developing targeted fraud prevention and detection training
  • Developing oversight monitoring processes
  • Developing target state reporting to increase awareness of fraud risk trends
  • Applying subject matter expertise to the prioritization and planning of projects in conjunction with fraud management policies and strategies
  • Engaging with key internal partners on various relevant risk mitigation activities and initiatives
  • Must be able to effectively provide updates and communicate key initiatives to senior management
  • Assisting with the operations of the Fraud Governance Committee
  • Responsible for building out a comprehensive metrics collection, analysis and reporting program interfacing with various business partners


  • BA/BS degree or higher required
  • Minimum 5+  years in securities regulation, surveillance, investigations, financial crimes, or related roles required
  • Working knowledge of data analytics
  • The successful candidate will have demonstrable analytic, problem solving, and leadership skills
  • Experience with managing long term projects or intiatives

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

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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Area(s) of InterestChoose at least one job category and/or location.

  • Compliance, Fort Mill, South Carolina, United StatesRemove