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SVP, Surveillance & Investigations

Job ID: R-004087 Date posted: 08/10/2018 Primary Location SC-Fort Mill

The SVP, Surveillance & Investigations will be located in our Fort Mill, SC office and report to the Chief Compliance Officer within LPL’s Compliance, Legal and Risk (CLR) organization. 

The SVP of Surveillance and Investigations will lead a large team of compliance professionals responsible for:

  • FA Sales Practice Surveillance
  • Employee/Advisor Personal Trading Surveillance and related information barrier controls
  • AML Surveillance
  • Surveillance Technology Management and Strategy
  • Investigations – responsible for investigating red flags or allegations of fraud, money laundering, elder/vulnerable adult financial exploitation, significant sales practice issues and policy violations, and other forms of advisor misconduct.  

Key responsibilities:

  • Program execution for the above areas
  • Optimizing the scope of the various surveillance programs and the design of the various detection controls based on rule changes, regulatory developments, new products and business initiatives, yield outcomes and other drivers.
  • Overseeing the continued build out of the firm’s Actimize Surveillance Platform for FA surveillance, as well as the implementation of a new transaction monitoring platform for AML.
  • Advancing the Firm’s newly combined Investigations unit, including ensuring the continued integration of legacy functions such as AML Investigations, Senior Investor Protection, and Sales Practice Investigations.
  • Ensuring investigations and any requisite reporting to regulators and law enforcement are conducted in a manner that maintains the Firm’s compliance with the Bank Secrecy Act (BSA), the USA PATRIOT Act, other guidance as published by the SEC, FINRA, FinCEN, FATF, OFAC, and the US Treasury Department, as well as the various state laws, rules and regulations.
  • Advancing and overseeing productivity and efficiency initiatives within the team.
  • Advancing talent management efforts within the team.
  • Participating in other key Firm committees including the Fraud Governance Committee, the Key Controls Forum, the Supervision Governance Committee, and others as assigned.
  • Engaging with key internal partners on various relevant risk mitigation activities and initiatives.
  • Engaging with key external partners (vendors, peers at other firms, industry committees) for benchmarking and information sharing to facilitate building a best in class program.


  • Minimum of 10 years of relevant experience in securities regulation, compliance, surveillance, investigations, financial crimes, or related roles required.
  • Minimum of 3 years of management experience in leading a team and overseeing complex processes required.
  • BA/BS degree or higher required
  • JD preferred
  • Professional licenses/certifications including, e.g., FINRA Series 7, ACAMS, CFE preferred
  • Experience in implementing compliance technology platforms and tools (e.g. Actimize, Mantas) preferred
  • Working knowledge of data analytics preferred

Required Skills:

  • Excellent written and oral communication and presentation skills
  • Ability to synthesize volumes of complex information and distill it into varying degrees of detail for various audiences, including senior management of the Firm
  • Ability to prioritize key deliverables, multi-task and work well under pressure and tight deadlines
  • Strong PC skills, including Microsoft Office 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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  • Compliance, Fort Mill, South Carolina, United StatesRemove