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VP, Offshore Compliance

Job ID: R-008878 Date posted: 02/14/2020 Primary Location SC-Fort Mill

The Vice President, Offshore Compliance is responsible for the enterprise-wide compliance oversight of vendors who perform work offshore related to the firm’s business and technology operations and regulatory responsibilities.  The Offshore Compliance team supports the Business and CoE to ensure the Firm has appropriate controls and a supervisory structure including conducting due diligence of the third-party service providers and their ability to perform such functions. 

Essential Functions:

  • Define compliance policies and controls for the offshore program and vendor locations; partner with the Business, CoE and Internal Audit to implement and ensure their ongoing effectiveness. 
  • Conduct written and onsite vendor due diligence to assess the vendor’s ability to perform the work and safeguard LPL information.  Actively engage with the vendor to seek, embrace and apply feedback regarding the offshore compliance framework.
  • Partner with Enterprise, Technology and STO Risk to evaluate process candidates considering the regulatory landscape and the nature of the work. 
  • Partner with Enterprise, Technology and STO Risk to test outsourced processes and controls, demonstrating the firm’s on-going control and oversight of the work.
  • Liaison with Chief Compliance Officer, Legal and Regulatory in the support of various inquiries and exams and keeping them informed regarding the general health of the Program. 

Job Qualifications:

  • Bachelor degree or 10+ years of experience with financial services companies (Operations, Technology or Compliance)
  • Demonstrated ability to build and implement compliance or risk programs
  • Experience working with offshore/outsourced vendors
  • 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

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 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 4,200 employees with primary offices in Boston, Charlotte, and San Diego.

*As reported by Financial Planning magazine, June 1996-2019, based on total revenue.

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 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 @lpl.com 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