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VP, Branch Examinations

Job ID: R-005181 Date posted: 11/28/2018 Primary Location SC-Fort Mill

The VP, Branch Examinations is a full time position located in Fort Mill as part of LPL’s Compliance, Legal and Risk (CLR) organization. This role will provide advice, guidance and expertise to Branch Examination teams. The successful candidate will ensure that regulatory and compliance risks are appropriately identified, measured, analyzed, reported and managed. As a risk and compliance professional, the VP will provide direction to staff on all aspects of the examination process in accordance with federal and state regulations, FINRA and other SRO regulations and LPL Financial policies and procedures. The VP candidate will strengthen their team by way of support from the home office, in-the-field support, regular coaching and feedback on employee performance, goal setting and attainment and customize ongoing training as needed. Periodic overnight travel will be required.  In addition to managing a team, the VP will support Sr Leadership in executing the goals and objectives of the branch examination program. 

Essential Functions:

  • Manage nationwide team of Examiners in daily operations around conducting assigned examinations; pre-audit, audit and post-audit phases. These phases include but are not limited to report analysis, on-site examination assistance, internal coordination of issues/escalations, mediation with office complexes and other necessary audit responsibilities.
  • Develops and maintains a comprehensive regulatory compliance management program to ensure all areas comply with state and federal regulations.
  • Ensures all compliance deficiencies are corrected in a timely manner.
  • Provides leadership, coaching, employee training, problem resolution, and day-to-day functional guidance to Compliance staff.
  • Advancing and overseeing productivity and efficiency initiatives within the team.
  • Advancing talent management efforts within the team.
  • 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.
  • Drive the organization through the maturity levels of data analytics as the organization starts adopting data governance best practices.
  • Confidently represent, present and articulate the work performed by staff and the overall Branch Exams team with internal departments, during arbitration matters, to regulators, firm prospects and local, regional and national conferences and events.


  • Minimum of 10 years of relevant experience in securities regulation, compliance investigations, auditing and/or compliance experience
  • Minimum of 5 years of management experience in leading a team and overseeing complex processes required
  • BA/BS degree or equivalent industry experience required
  • Series 7, 24 and 63 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