Skip Navigation
Search LPL Jobs

Search LPL Jobs

View All Current Opportunities at LPL Financial

AVP, Compliance, Legal & Risk PMO

Job ID: R-006832 Date posted: 06/03/2019 Primary Location SC-Fort Mill Other Locations CA-San Diego

The role of the AVP, CLR PMO is to plan, execute, and oversee multiple project efforts aligned to a shared business objective for the Compliance, Legal, and Risk department. The following functions fall within the AVP’s responsibility:

  • Customer Awareness: Responsive & relentless Project CEO who successfully builds responsive teams through mentoring, focusing on customer satisfaction, value creation & directional changes/roadmaps within the firm.
  • Strategic Awareness: Provides a broad-based background that will bring a unique perspectives to engineering development, extensive and diversified experience in program execution resulting superior technology development efforts.
  • Operational Excellence: Regarded as a capable and striving business leader that delivers projects and provides strong subject matter expertise in their field.
  • Talent Management: Demonstrated strong managerial skills as well as coaching for career development of others.
  • Management: Manage from beginning to end a large technology implementation of a new supervision platform. Identify and resolve issues and conflicts within the project team. Proactively manage changes in project scope, identify potential risks, and devise contingency plans. Track and report on budget and resource allocations across the project team to ensure forecasting of project spend is consistently reported. 
  • Communication: Determine the frequency and content of status reports from the project team, analyze results, and troubleshoot problem areas. Effectively communicate project expectations to team members and stakeholders in a timely and clear fashion.
  • Documentation: Develop project plans and associated communications documents. Identify and manage project dependencies and critical path. Plan and schedule project timelines and milestones using appropriate tools. Develop and deliver budgets, progress reports, proposals, and estimates.
  • Management Reporting: Status reporting and timely escalations to management to ensure that decision makers have relevant and up to date information.
  • User Acceptance Testing Co-ordination: Co-ordination and oversight of all business areas responsible for testing efforts of technology projects related to program.


  • Bachelor's degree required
  • Six Sigma or equivalent certification (minimum Green Belt)
  • Project Management Professional (PMP), preferred
  • 3-5 years of experience determining customer requirements, defining process measures, identifying root cause, designing process improvements, and measuring project outcomes
  • Advanced level Excel and knowledge of Visio
  • Proven project management skills
  • Ability to evaluate and provide solutions to complex situations and problems
  • Very strong analytical skills coupled with effective verbal and written communication ability
  • Thrives in a fast-paced environment
  • Ability to present complex information in a clear and concise way

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.

Sign Up for LPL Job Alerts

Area(s) of InterestChoose at least one job category and/or location.

  • Compliance, San Diego, California, United StatesRemove
  • Compliance, Fort Mill, South Carolina, United StatesRemove
  • Legal, San Diego, California, United StatesRemove
  • Legal, Fort Mill, South Carolina, United StatesRemove