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SVP, Corporate Controller

Job ID: R-022299 Date posted: 03/21/2022 Primary Location SC-Fort Mill Other Locations CA-Remote

Do you have a successful track record in Solution Architecture along with prior experience in delivering Strategic Modern Architecture that drives evolution of enabling architecture to business, product, and technology stakeholders? If so, LPL Financial is the place for you!

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.

The Corporate Controller will lead the accounting, financial reporting and tax activities and is responsible for the leadership, development and execution of the company’s corporate accounting function. Reporting to the Chief Accounting Officer and Treasurer, the Corporate Controller enhances financial controls, processes and oversees compliance with policies and procedures. These functions and processes produce timely and accurate monthly financial results in compliance with US GAAP and SEC reporting requirements. The Controller is also responsible for capturing, defining and ensuring accuracy of Non-GAAP financial metrics. The Controller works closely with our external and internal auditors, and other members of the organization to complete our monthly and quarterly reporting. This role instills a culture of strong internal controls across the company and is responsible for compliance with our technical accounting standards, and GL and sub-modules for efficient operations. Located in San Diego or Fort Mill, this position will lead a team of ~45 professionals domestically.

The role is a highly visible leadership role within a publicly-held company and an ideal opportunity for a change agent who enjoys providing thought-leadership, partnering with cross-functional teams, and establishing best in class processes in a dynamic environment.


  • Guides financial decisions by establishing, monitoring, and enforcing policies and procedures.
  • Protects assets by establishing, monitoring, and enforcing internal controls.
  • Monitors and confirms financial condition by conducting audits and providing information to external auditors.
  • Accountable to ensure consistent compliance of corporate accounting principles and procedures in full compliance with US GAAP and SEC reporting standards.
  • Partner effectively with other finance team members and non-accounting functions to drive improved controls and process enhancements.
  • Subject matter expert to make decisions, prioritize effectively and meet deadlines while maintaining the highest level of standards for completeness and accuracy.
  • Provide thought-leadership, strategic insights, and regular communications to the staff and leadership about the organization and performance of the Controller’s Group, extraordinary items, and progress vs. goals and strategic initiatives. 
  • Drive engagement, development, and overall performance of the team’s human capital
  • Maintain and enhance accounting operations, service levels, finance systems, and operational metrics related to staffing, productivity, and effectiveness.
  • Maintain and enhance the department’s relationships with internal and external auditors, and effectively managing the timely and effective completion of numerous audit and audit-related engagements.


  • Proven experience developing and leading a high-performing accounting and control organization.
  • Detailed experience of showing strategic and tactical vision with best-practices to guide a high-performing team.
  • Demonstrates strong business judgment applied to routine and complex financial and accounting issues.
  • Over fifteen (15) years of experience dealing with complex accounting matters.
  • Self-motivated team player who can credibly communicate with and relate to individuals at all levels in the finance and accounting organization and other associated internal customer teams, with demonstrated experience in mentoring and leading distributed teams.
  • Bachelor’s degree in accounting, finance or related discipline required, Master’s degree preferred. Active CPA license required
  • Broker/Dealer Operations and banking experience preferred

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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