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VP, Project Manager (Compliance, Legal and Risk)

Job ID: R-003418 Date posted: 06/25/2018 Primary Location CA-San Diego Other Locations SC-Fort Mill

We are currently looking to hire a VP of Project Management to work in our Project Management Office (PMO) within the Risk Management department, which is a part of LPL’s Compliance, Legal and Risk (CLR) organization.

The VP, Project Manager is part of a dynamic and cross-functional team of Project Managers and Business Analysts who focus on driving excellence across LPL Financial by ensuring that the projects are driving the intended outcomes, identifying opportunities and executing process improvements.  Outcomes achieved should fall into the categories of “smarter,” “simpler,” and “more personal.” The VP, Project Manager will interact regularly with senior inter/cross-departmental leadership, as well as executive leadership. 

This position requires advanced organizational and communication skills, the ability to operate in a highly dynamic multi-tasking environment, and demonstrated ability to creatively define, develop, and execute plans to solve highly complex matters.  

Essential Functions: 

  • Responsible for a portfolio of projects that focus on Compliance, Legal, and Risk initiatives; many of which have a major technology component
  • Define and drive goals/outcomes and oversee successful execution of projects; through post-mortem processes, conduct an assessment that reviews successes, weaknesses, opportunities, and threats for future projects
  • Collaborate with CLR leadership to ensure cross team synergies; implore a ‘who needs to know’ mindset
  • Ensure project alignment with corporate strategy
  • Identify and lead a team to execute process improvements and enhancements
  • Perform executive reporting of project status updates


  • Bachelor's degree preferred
  • 10+ year’s project management experience, preferably in the Financial Services or Broker/Dealer space
  • 8+ years of strong general management experience with proven ability to develop engaged, high performing teams
  • 5+ years project management experience; PMP or similar desired
  • C-Suite level presentation experience required; must be comfortable leading and presenting in front of all levels of management
  • Must have demonstrated experience with excelling in an "influence model" where results are often achieved with and through others
  • Must evidence the business acumen and organizational agility to manage and lead effectively in a dynamic "change is the norm" environment
  • Should be an expert change management driver who has critical consensus building skills and an ability to drive complex initiatives and change across multiple functions within the organization by partnering with and leveraging others' expertise and roles
  • Must be able to build sound business relationships across the enterprise, this is critical for enabling a strong mutual understanding of risks and opportunities, and achieving close alignment on business needs, direction, and risk appetite
  • Experience collaborating with various business partners across an organization to drive change (utilizing ADKAR), improve business performance, and being more innovative to challenge the organization past a typical status quo mindset
  • Working knowledge of  SEC, FINRA, NFA, CFTC, and MSRB rules
  • General understanding of internal controls and the demonstrated ability to evaluate and determine the adequacy of controls addressing regulatory and business risks
  • Excellent written, interpersonal and presentation skills
  • Demonstrated ability to effectively present complex and technical issues to management in a variety of settings
  • Personable and reliable self-starter who requires minimal management oversight for day-to-day work responsibilities
  • Strong attention to detail with a pro-active approach to solving and preventing problems
  • Ability to work under pressure/deadlines and manage multiple priorities
  • Highly motivated and able to adapt to changing priorities
  • Strong project management skills, including the ability to prioritize and meet deadlines
  • Experience in leading teams from a matrix-managed perspective 

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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