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Vice President - Product & Platform Compliance

Job ID: R-021719 Date posted: 03/04/2022 Primary Location SC-Fort Mill Other Locations SD-Remote , CA-Remote , CA-San Diego

As a compliance professional, what inspires you? 

Do you feel empowered knowing that your work helps to protect the financial futures of every day Americans?  Do you want to provide dynamic, risk-based advice in a successful and growing company?   Do you want a position with a results-oriented company, competitive pay and benefits? 

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

The Product & Platform Compliance Department at LPL Financial is looking for an engaged and keen-minded compliance professional with significant experience in investment advisory compliance.  The role will work with an experienced team of compliance professionals to provide pragmatic advice and thought leadership on our compliance program to effectively manage risk relating to the investment advisory business. 

What are we looking for?

We want strong collaborators who can deliver a world-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

Responsibilities include but are not limited to:

  • Effectively and proactively provide sound advice and direction on issues concerning investment advisory compliance policies, rules, regulations and procedures.  
  • Develop and implement the adoption of controls that meet or exceed relevant SEC regulations and RIA industry best practices in light of the company’s overall risk profile
  • Partner with various departments across the firm and other members of our Compliance, Legal and Risk team to provide advice and guidance on relevant projects and initiatives
  • Support the department’s effort to consistently review and improve policies and processes to enhance the advisory programs
  • Drive the execution of remediation plans and support regulatory commitments
  • Analysis of the application of rules and regulations as applied to the advisory services offered under the LPL Registered Investment Advisor and affiliated investment advisers
  • Maintain a thorough and up-to-date understanding of regulations governing the company’s business through ongoing education and involvement in industry groups.
  • Proactive identification and escalation of compliance and regulatory issues affecting the company’s compliance with rules and regulations   
  • Assist with the compliance risk assessment and conflict identification processes

Leverage existing technology solutions and identify new solutions to fulfill compliance responsibilities

Please note: Additional responsibilities or duties may be assigned to you as needed or determined.

What skills and education are required?    

  • Must have Bachelor’s Degree
  • Minimum of eight-ten years industry-related experience with the majority of it in investment advisory compliance
  • Deep knowledge of the Investment Advisers Act of 1940, the Securities Exchange Act of 1934, the rules and regulations of self-regulatory organizations
  • Previous experience with compliance surveillance applications is a plus
  • Experienced in interaction with regulators preferred
  • Excellent written and oral communication skills
  • Strong time management, organizational and project management skills, including the ability to handle multiple projects and manage deadlines in a fast-paced and demanding work environment
  • Should have good interpersonal skills and ability to interact with members of senior management as well as adaptability and willingness to take on a wide variety of new tasks

Ability to present to financial professionals

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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