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VP, Electronic Communications Compliance

Job ID: R-011778 Date posted: 11/17/2020 Primary Location SC-Fort Mill

As part of the LPL Risk Management Department, the VP of eComm Compliance will lead a team that provides enterprise-wide oversight of the digital tools and capabilities that create electronic communication related to the firm’s business and validates that the firm’s processes and controls are reasonably, designed to capture, archive, retrieve, and supervise such communications.

Through these objectives, the team to protects LPL’s infrastructure, strategic assets, employees, financial professionals, investors and shareholders from undue risks and significant financial harm and enable the firm to benefit through increased speed to market, reduced implementation cost and the proactive identification and management of risk.   

The individual will be responsible to:

  • Enable cross-functional collaboration to support “one team on one mission”.
  • Enable data driven decision-making (using data as insights) by providing management with access to real-time data and reporting, which will help identify program and process level deficiencies and gaps.
  • Improve operational efficiency through automation and enforcing appropriate ownership of risk.
  • Increase employee engagement by eliminating the repetitive and manual work of data aggregation and report generation.
  • Facilitate consultative, proactive governance frameworks that will provide key stakeholders a forum to incubate ideas and assess risks related to strategic initiatives aligned with our strategic plays.

Job Requirements:

  • Minimum of 5 + years’ experience in the financial services industry in a compliance, legal, technology or risk capacity, focused on electronic communication compliance;
  • Demonstrated knowledge of eComm and Digital communication products including their capabilities, risk management intent and issues such as metadata, security, privacy, and access;
  • Demonstrated ability to transform and implement compliance or risk programs;
  • Ability to forge solid relationships and collaborate with business partners, including the ability to convey complex information/knowledge in an understandable and clear manner;
  • Series 7 & Series 24; preferred
  • Working knowledge of SEC, FINRA, NFA, CFTC, and MSRB rules especially books and records and eComm compliance/supervision.
  • Software/Systems Skills Required/Preferred: Advanced Microsoft (Word, Excel, Access and PowerPoint), Visio, Adobe Acrobat, SharePoint and Outlook

Additional skills required:

  • Ability to work in a fast-paced environment and to engage in Cultural Transformation activities 
  • Ability to attract and retain diverse and innovative talent
  • Demonstrated ability to analyze information to formulate business recommendations
  • Strong organizational skills with attention to detail, in order to meet deadlines in an environment of continually changing priorities

About CLR

The Compliance, Legal & Risk (CLR) team is focused on delivering an industry-leading client service and risk management experience by providing advisors and our internal business partners with proactive guidance, advice, advocacy and consultative partnerships.

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.

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We take social responsibility seriously. Learn more here

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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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  • Compliance, Fort Mill, South Carolina, United StatesRemove