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Mgr, Compliance

Job ID: R-005702 Date posted: 01/24/2019 Primary Location SC-Fort Mill Other Locations CA-San Diego

We are currently looking to hire a Manager within the Compliance, Legal and Risk (CLR) business unit. The Manager of Advisory Compliance will report to the VP, Advisory Compliance and will primarily be responsible for the support of the Code of Ethics, Personal Securities Trading and Activities, Custody, Policies and Procedures, Pay-to-Play and other advisory functional tasks as well as coordinate with internal business units. 


  • Manage a team who is responsible for the execution of the Code of Ethics and the Personal Securities Trading policies;
  • Responsible for execution of RIA functional tasks;
  • Communicate internally and externally with employees and advisor field staff;
  • Perform oversight of the team’s duties and responsibilities;
  • Develop or enhance policies & procedures including trainings and processes;
  • Stay current with relevant investment advisory rules and regulations including best practices;
  • Create metrics to report trends and patterns;
  • Perform other duties as assigned


  • Bachelor’s degree required;
  • 4+ years of experience in the financial services compliance;
  • Series 7 & 66 preferred and Series 24 a plus;
  • Compliance knowledge of Investment Advisors Act of 1940;
  • Excellent written, verbal, and interpersonal skills;
  • Attention to detail;
  • Disciplined, well organized, but also flexible leader;
  • Ability to work in a fast-paced and growing environment;
  • Innate ability to build strong relationships;
  • Strong project management skills, including the ability to prioritize and meet deadlines;
  • A passion for improving processes so they can be followed easily and lead to excellent results

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
  • Compliance, Fort Mill, South Carolina, United StatesRemove