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AVP Trading & Operations Compliance

Job ID: R-001981 Date posted: 12/31/2017 Primary Location CA-San Diego

The Trading & Operations Compliance Assistant Vice President will collaborate with other internal areas including trading, operations, and legal to monitor and address compliance practices and issues related to trading and operations. 

Essential Functions:

  • Develop, review and implement desktop policies and procedures
  • Conduct compliance monitoring and testing of controls in trading and operations
  • Provide guidance on rules and regulations relating to trading and operational issues, as well as, provide compliance approvals and interpretation of internal compliance policies. Proactively assist in interpreting regulatory releases and guidance
  • Support the business in performing timely compliance reviews of new processes pertaining to trading and operations
  • Assist in the development and administration of compliance training and educational material for trading and/or operations
  • Research new rules/rule changes and implement policies, procedures or other controls necessary to comply with the rules.
  • Serve as liaison between compliance and the trading desks, operations and other areas
  • Assist in regulatory inquiries and/or examinations
  • Coordinate with Internal Audit and Risk Management
  • Maintain subject matter expertise through on-going education and training activities


  • Bachelor’s degree in a related field of study; advanced degree a plus
  • FINRA series 7 and 24 preferred
  • 7+ years’ experience in compliance
  • Significant Compliance experience with respect to trading and/or operations
  • Strong knowledge of FINRA, MSRB and SEC rules
  • BETA knowledge a plus
  • Knowledge of Archer and other compliance tools a plus
  • Strong communication skills, both written and verbal
  • Must be a self-starter, enjoy working in a fast paced environment and be comfortable communicating with all levels of management


  • Fort Mill, SC or San Diego, CA

Our Company:

LPL Financial, the nation’s largest independent broker/dealer since 1996* and the fourth largest broker/dealer overall, serves as an enabling partner to more than 14,000 independent financial advisors and approximately 700 financial institutions. Since its formation decades ago, LPL has focused on one primary mission -- enabling independent financial advisors to bring objective and un-biased financial advice to millions of Americans. 

Headquartered in Boston, San Diego, and Fort Mill, and powered by more than 3,300 client-centric employees, LPL is financially strong and growing.

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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