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AVP, Govn, Risk & Compliance

Job ID: R-001982 Date posted: 01/10/2018 Primary Location SC-Fort Mill
  • We are currently looking to hire an Assistant Vice President (AVP), ERISA, Retirement and Advisory Compliance within the Compliance, Legal and Risk (CLR) business unit. The AVP, ERISA, Retirement and Advisory Compliance will report to the VP, ERISA and Retirement Compliance and will primarily be responsible for the support of retirement related issues and escalations, oversight of DOL requirements, and coordination with internal business units. Additionally, this individual would be responsible for the calibration of the firms ADV.   

    • Assist in the development and execution of ERISA, Retirement and ADV strategy;
    • Responsible for execution on ERISA/DOL control matrix;
    • Provide support to Legal on ERISA, DOL, SEC and FINRA matters related to their exams or retirement matters in general
    • Perform oversight of the team’s duties and responsibilities;
    • Provide support to Business Units on ERISA/DOL/retirement related issues;
    • Develop or enhance policies & procedures as well as training;
    • Support all CLR units on retirement issues, escalations and ad-hoc inquiries;
    • Review, maintain, and update the Firm’s regulatory filings, including Forms ADV
    • Stay current with relevant investment advisory rules and regulations including best practices;
    • Create metrics to report trends and patterns;
    • Perform other duties as assigned


    • Bachelor’s degree required;
    • Professional license/designation/certification (e.g., Series 7, CFA, AIF);
    • 7+ years of experience in the retirement space, ideally focused on ERISA, Retirement, DOL or RIA compliance;
    • Compliance knowledge of DOL, ERISA and/or Investment Advisors Act of 1940;
    • Excellent written, verbal, and interpersonal skills;
    • Attention to detail;
    • Disciplined, well organized, but also flexible leader;
    • Ability to work in a fast-paced and growing environment;
    • Innate ability to build strong relationships;
    • Strong project management skills, including the ability to prioritize and meet deadlines;
    • A passion for improving processes so they can be followed easily and lead to excellent results

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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