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Head of Technology - Compliance, Legal & Risk

Location: Fort Mill, South Carolina

Job ID: R-025092

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Overview

LPL is an entrepreneurial, transformative financial services company, driving growth and exciting possibilities for our clients, their customers, and our own people. This is where you can dream up new ideas for financial services, deliver solutions on modern platforms, and leverage digital-first technologies – all as we become a cloud-based technology organization. Join us and discover everything you can touch with the nation’s largest independent broker-dealer firm and a Fortune 500 company.

  • Full Time
  • Level: Mid

Success Profile

What makes a good Tech Professional at LPL Financial? Check out the traits we’re looking for to see if you have the right mix.

  • Communicator
  • Proactive
  • Self-starter
  • Collaborative
  • Curious
  • Team player

Hear From Our Tech Team

anthony verriello smiling

Hear From Our Tech Team

We are as obsessed with our employee experience as we are passionate about the success of our customers and work hard to ensure an inclusive and entrepreneurial environment where our people can innovate and thrive.

Tony

SVP, Technology

Hear From Our Tech Team

rashmi prakash Smiling

Hear From Our Tech Team

We’re a Fortune 500 company that is also the largest independent broker dealer in the country. With LPL, you have the opportunity to join the organization at the beginning of our technology transformation journey to a cloud-based organization.

Rashmi

Distinguished Architect

Hear From Our Tech Team

kirk windisch smiling

Hear From Our Tech Team

LPL is a growing company with a healthy balance sheet that is heavily investing in its technology. Our company culture is collaborative, humble and supportive, and our entrepreneurial spirit helps drive us toward innovative solutions that exceed the expectations of our customers.

Kirk

SVP, Product Platform Development

Hear From Our Tech Team

megan perry smiling

Hear From Our Tech Team

Technology is best when it brings people together. LPL takes care of our employees because we know the best talent, when encouraged to be creative, produce real solutions that deliver the highest value to our advisors and their investors. Your voice matters.

Megan

SVP, Planning and Portfolio Management

Our Culture

Collaborative. Welcoming. Entrepreneurial. Mission-driven.

We’ve created an amazing environment at LPL, but we’re not done yet. Join us on an exciting transformation as we embrace our inner-fintech and define the future of wealth management technology.

Learn more
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Benefits

  • Maternity & Paternity Leave

  • 401(k) & ESPP

  • Professional Development

  • Flexibility

  • Health & Wellness Programs

  • Agile Environment and Collaboration

Job Description

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Responsibilities

Job ID R-025092 Date posted 08/31/2022

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.

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!

The Technology leader for Compliance, Legal, and Risk (CLR) will be part of our Technology team that is leading the evolution of LPL’s business lines to make them highly competitive in the industry and poised to drive value for our clients to help them grow. This role will be responsible for spearheading the CLR-related technology initiatives.

This leader will collaborate with experts in the business teams, CLR teams, and other areas, to solve complex client needs. The individual needs to have a proven track record of delivery in a highly collaborative, highly regulated space. 

What will you do as the Technology Leader, Compliance, Legal, and Risk?

  • Thrive in a fast-paced environment, be client-focused, team oriented, and be able to execute in a way that encourages creativity and continuous improvement across all teams.

  • Build strong relationships and collaborate with internal business partners to strategize and develop innovative solutions to build and scale our offering, while serving as the accountable party to milestones, timelines, and outcomes.

  • Learn quickly from client, partner, and prospect feedback, and apply an entrepreneurial mindset to iterate our offering and positioning nimbly.

  • Be seen as a change agent as we develop and reimagine our positions on and solutions for key matters.

  • Enable growth in the business by assisting in recruiting new clients and providing capabilities for growth of existing clients.

  • Act as a leverage point for our sales, solutioning, and relationship team to be able to sell, position, and consult on solutions to clients’ key problems.

  • Serve as strong leader who is able to break down obstacles, and who is able to scale and drive opportunities across teams.

What are we looking for?

We want a high energy, outside of the box thinker with a strong understanding of the independent wealth management industry and deep subject matter expertise in a variety of CLR-related areas. Our clients’ needs are ever-evolving with new business constructs, tools, and services arising constantly—we need to solve with, or ideally ahead, of these changes.

The leader will have a unique ability to understand the needs of various client segments and the tools and services they use and offer to overlay the compliance, legal, regulatory, and risk constructs necessary to conduct business effectively. We are looking for someone with strong organizational, innovative thinking and analytical skills coupled with client-centricity to drive our variety of business lines forward and allow our clients and firm to thrive.

Excited to learn more? If so, then this could be the role for you!  

Requirements:

  • Bachelors required - masters desirable (not required)

  • 10-15 years of leadership experience

  • Experience working with Compliance, Legal or Risk business partners

  • Experience working in a cross-functional role

Why LPL? 

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.

Want to hear from our employees on what it’s like to work at LPL?  Watch this!

We take social responsibility seriously. Learn more here

Want to see info on our benefits?  Learn more here

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.

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