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VP, Trading Compliance

Job ID: R-022284 Date posted: 05/03/2022 Primary Location SC-Fort Mill Other Locations CA-Remote , CA-San Diego

Generate Interest:

Are you solution-oriented and passionate about delivering results? Do you like thinking outside the box, learning new skills, problem solving and developing people into future leaders and experts? 

Are you a team player? Are you curious to learn? Are you interested in working in meaningful projects? Do you want to work with cutting-edge technology? Are you interested in being part of a team that is working to transform and be at the cutting edge of the market? 

If so, LPL Financial is the place for you!

Excited to learn more? If so, then this could be the role for you!  

LPL Financial (Nasdaq: LPLA) was founded on the principle that the firm should work for the advisor, and not the other way around. Today, LPL is a leader* in the markets we serve, supporting more than 18,000 financial advisors, 800 institution-based investment programs and 450 independent RIA firms nationwide. We are steadfast in our commitment to the advisor-centered model and the belief that Americans deserve access to personalized guidance from a financial advisor. At LPL, independence means that advisors have the freedom they deserve to choose the business model, services, and technology resources that allow them to run their perfect practice. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors, so they can take care of their clients.

Job Overview:

We are currently seeking a VP, Trading Compliance within the Compliance department of LPL’s Compliance, Legal and Risk (CLR) organization.  This role requires strong people-leadership skills, a customer service attitude while working across the LPL organization including the Trading/Operations areas of Care as well as Technology in delivering world-class solutions in a strong control environment.

This position requires excellent data, communication and writing skills, and the ability to quickly develop a working knowledge of the CLR organization. The ability to effectively interact with all levels of staff including senior and executive management, as well as experience working within a wealth management environment; ideally with a trading and/or business management background is preferred.

Responsibilities:

  • Leadership of a dynamic organization leading the Trading Compliance functions across a variety of traded products.

  • Manage regulatory risk issues within LPL related to the sale and execution of traded products including developing and maintaining firm policies and procedures in coordination across business partners.

  • Participate in implementation of a robust OKR program in coordination with business partners and deliver key result reporting to senior management in coordination with business support staff.

  • Support our advisors and their customers in successfully navigating firm Compliance policies related to trading matters to maintain Compliance or drive evolution of the program accordingly.

What are we looking for?

We want strong collaboratorswho can deliver a world-class client experience. We are looking for people who thrive in a fast-paced environmentare client-focusedteam oriented, and are able to execute in a way that encourages creativity and continuous improvement.

Requirements:

  • Bachelor’s Degree in Finance, Business Administration or equivalent work experience

  • Previous successful people leadership experience

  • Previous experience in trading and compliance disciplines inclusive of Broker/Dealer and Investment Advisory products.

  • Proven communication skills, verbal and written

  • Extensive knowledge of the applicable FINRA, SEC and MSRB regulations related to the trading of the above security types.

  • Experience in designing and implementing a control framework

  • Technical knowledge of trading and trading systems (e.g. Order Ticket, TRF/ORF Reporting, CAT)

Preferences:

  • Extensive Knowledge of Compliance and Risk functions within a Broker/Dealer and Wealth Management organization

  • Practical knowledge of Blue Sky Laws and applicability to trading practices

  • FINRA Series 7, 24 

  • Strong technical skills across various business applications including Excel, SmartSheets, Powerpoint and others.

  • Experience managing Rules Engines

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.

Want to hear from our employees on what it’s like to work at LPL?  Watch this!

We take social responsibility seriously.  Learn more here

Want to see info on our benefits?  Learn more here.

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.

Want to hear from our employees on what it’s like to work at LPL?  Watch this!

We take social responsibility seriously. Learn more here

Want to see info on our benefits?  Learn more here

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 @lplfinancial.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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