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AVP, Technology Project Portfolio

Job ID: R-005566 Date posted: 04/26/2019 Primary Location SC-Fort Mill

We are currently looking to hire an AVP, Technology Project Portfolio within the Technology, Reporting, Analytics & Controls department, which is a part of LPL’s Compliance Legal and Risk (CLR) organization. This position is responsible for supporting Business Risk Management (BRM) is responsible for several key functions within LPL’s CLR division. They will work with all levels of staff in the various units of  LPL Financial, with Compliance Legal and Risk (CLR), Technology, and Service Trading and Operations (STO) being the most notable. 

This position requires excellent communication and writing skills, and the ability to quickly develop a working knowledge of LPL Financial technology, policies and procedures. The ability to interact with  all levels of staff including senior and executive management, as well as experience working within a broker/dealer environment; ideally  with a technology, compliance or risk background is preferred.

Essential Functions:

  • Manage Technical and Project Portfolios: Liaise with technology units to support the CLR technological portfolio and initiatives. This function may include the following:


  • Assist in managing the BRM technology &  project portfolio
  • Assist coordinating priorities between BTS and CLR senior management and project teams
  • Manage escalations and follows up on outstanding issues
  • Drive technical and business issues to resolution.
  • Prepare and present oral and written reports and presentations
  • Ensure that Quality Control processes are followed and maintained
  • Serve as a subject matter expert between our CLR and BTS departments.
  • Develop and maintain client relationships and ensure client satisfaction
  • Participate in initiatives to improve the operational and technical capabilities of the firm
  • Engage in all facets of new initiatives, including brainstorming, providing specifications, testing, release and validation
    • Vendor relationship management; trouble shooting and issue resolution; coordinating with BTS and outside vendors to fix issues or find solutions to problems; escalation of issues not being resolved; finding creative work around; obtaining consensus and approval from impacted parties; ensuring the appropriate parties are included in the decision process and the appropriate individuals are apprised of the progress / decisions / issues / risks encountered; submitting and advocating requests for improvement; writing / reviewing support documentation, policies and procedures; maintaining issues list; running meetings with agendas and minutes; mediating and resolving issues; coordinating / conducting testing; coordinating and/or conducting training; creating and implementing a communication plan.
    • Manage other GRC Processes. Ensure GRC processes are completed to ensure compliance, mitigate risk and ensure solid corporate governance. This function may include relationship management with BTS, finance, strategic planning and other areas of LPL; trouble shooting and issue resolution; coordination and follow-up across various areas of LPL and advisors; escalation of issues not being resolved; finding creative work around; ensuring the appropriate parties are included in the decision process and the appropriate individuals are apprised of the progress / decisions / issues / risks encountered; submitting and advocating requests for improvement; writing / reviewing support documentation, policies and procedures; and mediating and resolving issues. Some of the processes include coordination of RPMs for GRC; draft, facilitate, negotiate and own the annual project, non-RPM headcount, and GRC Goals.

Other Job Duties:

  • Participate in firm wide and other department projects / initiatives as a CLR representative to provide CLR guidance and interpretation of rules, regulations, risks, and best practices.
  • Create and implement policies, procedures, training and communication of the new policies and procedures to support these projects.
  • Mentor and educate team members on current industry technology and issues.


  • Bachelor’s Degree in MIS / Computer Science, Business Administration or equivalent work experience
  • Strong decision making and problem solving skills.
  • Team player who is comfortable working in a dynamic and fast-paced environment with minimal supervision
  • Ability to interact confidently with senior management
  • Excellent verbal and written communication skills
  • Ability to manage time and tasks around intense deadlines for clients who work in a time-sensitive industry
  • Balance multiple projects and other responsibilities
  • Highly  proficient with Excel
  • A passion for improving processes so they can be followed easily and lead to excellent results

Preferred Experience:

  • FINRA Series 7 and Series 24 licenses
  • Working knowledge of SEC, FINRA, and MSRB rules.
  • Extensive knowledge of Compliance and Risk functions within a Broker/Dealer and Investment Advisory organization.

Technical Requirements:

  • Experience in the development of broker-dealer monitoring and control environments. Experience building brokerage compliance platforms (i.e. Actimize, Mantas, etc.) is a plus.
  • Strong working knowledge of leveraging data in the development of controls and risk mitigation 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