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Manager, Compliance

Job ID: R-014100 Date posted: 04/07/2021 Primary Location SC-Fort Mill

At LPL Financial, we are currently looking to hire a Manager within the Branch Exams Department, which is a part of LPL’s Compliance, Legal and Risk (CLR) organization.

The Manager position is responsible for managing a team of approximately 10 remote examiners that conduct branch inspections across the country.   These branch inspections include independent financial advisors, as well as bank and credit union programs.

The Manager will provide direction to staff on all aspects of the inspection process in accordance with federal regulations, state regulations, FINRA and other SRO regulations, as well as LPL Financial policies and procedures. The Manager will strengthen their team by way of in-the-field support, regular coaching, goal setting, and ongoing training as needed. Periodic overnight travel will be required.

What will you do?
• Manage nationwide team of Examiners in daily operations around conducting assigned inspections; pre-audit, audit and post-audit phases. These phases include but are not limited to transaction and activity reviews, report analysis, on-site examination assistance, internal coordination of issues/escalations, mediation with office complexes and other necessary audit responsibilities.
• Review and cross-check completed audit kits for completeness and accuracy of audit content. Review audit kits and audit letters for overall quality assurance.
• Engage Branch Exam team with regular and varied training events via phone, web conference, on-site joint audits and in-person group meetings. Engagement occurs at the individual and group levels and Managers will be contributors to developing and personalizing ongoing training.

Who are we looking for?

We want a strong leaderwho can deliver a best in class client experience. We are looking for people who thrive in a fast-paced environment, are client focused, team oriented, and are able to execute in a way that encourages creativity and continuous improvement.


  • Bachelor’s degree or equivalent industry experience required
  • Excellent communication, presentation, written, and interpersonal skills needed to influence customers (internal and external)
  • Excellent people-management skills related to the impact of change with the ability to understand how people react to major change and able to handle appropriately
  • Proven self-starter with strong relationship building skills
  • 5+ years’ industry experience
  • Series 7, 24 and 63 registrations a plus.

About CLR

The Compliance, Legal & Risk (CLR) team is focused on delivering an industry-leading client service and risk management experience by providing advisors and our internal business partners with proactive guidance, advice, advocacy and consultative partnerships.

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 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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  • Compliance, Fort Mill, South Carolina, United StatesRemove