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SVP, Compliance

Job ID: R-007812 Date posted: 10/21/2019 Primary Location SC-Fort Mill

LPL is seeking a dynamic and accomplished compliance executive to serve as Senior Vice President (SVP), Product and Platform Compliance.  This position will be part of the Compliance, Legal and Risk (CLR) organization and will report to the SVP, Advisory CCO and Head of Product & Platform Compliance.

This individual can be located in either San Diego or Fort Mill.  The role includes leading a team of compliance professionals spread across the firm’s Fort Mill & San Diego locations.

 Key Responsibilities:

  • Responsible for assisting in the execution of compliance and risk management functions across the firm’s various product and platform offerings, including:  packaged products, insurance, conflicts management, communications with the public, senior investors, institutional services and other compliance areas as required.
  • Work collaboratively with business partners across the above-listed coverage areas in the development of new products, services and initiatives to promote efficient and compliant growth and a positive experience for advisors to do business with LPL
  • Responsible for contributing to the firm’s successful implementation of various regulatory and firm wide initiatives including Regulation Best Interest.
  • Design policies, procedures and training related to described coverage areas
  • Assist with responses to regulatory exams and inquiries
  • Lead a team of compliance professionals with varied backgrounds; providing direction and motivation to ensure a positive, open and collaborative working environment, and career development opportunities
  • Oversee and assist with the completion of remediation projects as well as certain control implementations
  • Assess talent, cultural dynamics and processes to foster a “risk ready” mindset and approach to compliance

Additional Essential Functions:

  • Interact with financial advisors and field leaders to help solve issues, improve advisor experience, and maintain a compliant and efficient growth environment
  • Attend and present at various LPL conferences, as well as industry forums
  • Maintain a thorough and up-to-date understanding of all relevant laws, rules, and regulations, and the associated regulatory and market environments
  • Promote a culture of high performance and continuous business process improvement that values learning and a commitment to quality, and drives efficiency using a proactive and anticipatory approach resulting in an enhanced advisor experience.
  • Interact and collaborate with the CLR management team, Legal, business leaders, regulators and government agencies and industry associations


  • Bachelor’s degree required; JD, MBA a plus
  • Securities licenses preferred
  • Minimum of 10-15 years relevant experience
  • Ability to excel in a deadline driven environment
  • Extensive/expert level knowledge within the investment services space
  • Problem solving skills that enable efficient identification of issues; structuring and execution of analysis; development of actionable recommendations; and implementation of those recommendations
  • Effective change and project management skills; propensity for continually improving processes
  • Excellent judgment, superior problem solving and negotiating skills
  • Ability to leverage others expertise and experience in identifying, evaluating and mitigating risks
  • Operates in a team environment with a focus on employee satisfaction
  • Self-reliant, results oriented
  • Holds oneself and team accountable for decisions, direction and deadlines
  • A natural forward planner who critically assesses own performance, that of the team and adjusts as needed
  • Mature, credible, trustworthy and comfortable dealing with senior executives

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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  • Compliance, Fort Mill, South Carolina, United StatesRemove