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VP, Compliance Operations

Job ID: R-006242 Date posted: 03/14/2019 Primary Location SC-Fort Mill

LPL is seeking an experienced, results-driven, business-oriented and adaptable risk professional to lead operations for the Compliance Department.

Reporting to the CCO, this person will be responsible for helping to drive and present on strategic priorities, quarterbacking special projects and project tracking, oversight of quality control routines and operational risk issues, reporting and metrics, business management, and employee engagement efforts.  This individual will also lead a small team of direct reports to support these efforts.

Essential Functions:

  • Act as an adviser to the CCO and key senior business partners
  • Establish and maintain effective management and reporting routines that allow the department to focus on “risks that matter”
  • Coordinate the execution of strategic initiatives and department-wide deliverables
  • Oversee quality control routines and operational risk issue management routines
  • Assist the CCO in creating department goals and operationalizing the business plan
  • Partner with Finance to develop the annual budget that supports the organization’s strategic initiatives
  • Prepare influential executive level presentations to facilitate fact-based business cases, recommendations, and program updates
  • Bring diverse groups together in order to drive collaborative management


  • Bachelor’s degree
  • JD and/or MBA preferred
  • 7+ experience in financial services industry, preferably in a compliance or risk role
  • Consulting expertise preferred
  • Exceptional project management and organizational skills; a proven “closer”
  • Detail oriented and strong analytical skills
  • A natural and confident leader who can motivate employees
  • Excellent oral and written communication skills; strong executive presence
  • Ability to manage multiple initiatives concurrently in a very fast-paced, entrepreneurial environment
  • Highly collaborative with experience in leading and influencing teams and individuals across lines of business, functional areas and different levels of an organization; courage to hold peers accountable
  • Series 7 and 24 preferred but not required

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
  • Service and Operations, Fort Mill, South Carolina, United StatesRemove