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AVP, Govn, Risk & Compliance

Job ID: R-007816 Date posted: 10/08/2019 Primary Location CA-San Diego

AVP, Non-Exchange Traded Products Compliance

LPL is looking for an Assistant Vice President of Compliance

This person will be a critical contributor to the Product and Platform Compliance Department within Compliance that provides guidance and drives policy changes for variable annuities, mutual funds, UITs, alternative investments, and the firm’s insurance offerings.

Additional responsibilities include:

  • Understand current rules and best practices related to the sale of variable annuities, mutual funds, UITs, alternative investments, and the firm’s insurance offerings.
  • Evaluates the adequacy and effectiveness of policies, procedures, processes, systems and internal controls. 
  • Communicate guidance to internal business owners on actions that should be taken to address gaps and to improve compliance program
  • Lead changes to policies and procedures based on new rules, regulatory actions and industry best practices
  • Support prioritization, monitoring and management of numerous compliance initiatives with varying levels of complexity, risk, duration and prioritization
  • Act as primary compliance contact for insurance business partners including the product sales and operations teams
  • Respond to product related regulatory inquiries
  • Assist in the development of education and training content
  • Maintain subject matter expertise through on-going education and training activities
  • Ability to influence and interface effectively with all levels of management


  • Bachelor's degree in a related field; advanced degree a plus
  • Ability to articulate complex concepts in a clear manner
  • Extensive experience with and knowledge of variable annuities, mutual funds, UITs, alternative investments, and insurance products.
  • Excellent verbal and written communication skills with experience in writing reports or presenting to senior management
  • Experience implementing compliance policies & procedures
  • Ability to work in team environment and independently
  • Excellent project management and strategic planning skills
  • Proven ability to develop and maintain strong business relationships with peers and business partners
  • Strong analytical skills with high attention to detail and accuracy
  • Preference that the applicant hold one of the following licenses or designations; Series 7, 24; Life and Health licensure
  • 3+ years of experience in financial services industry with an emphasis on operations and compliance, and insurance
  • Working knowledge of FINRA and SEC rules
  • Requires minimal management oversight for day-to-day responsibilities

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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  • Compliance, San Diego, California, United StatesRemove