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The health and safety of our employees and candidates is very important to us. Due to the current situation related to the Novel Coronavirus (COVID-19), we’re leveraging our digital capabilities to ensure we can continue to recruit top talent at LPL Financial.As your application progresses, you may be asked to use one of our digital tools to help you through your recruitment journey. If so, one of our recruiters will explain what type of interviewing technology will be used throughout the recruitment process and will be on hand to answer any questions that you have. You can also email us at
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SVP, Compliance Monitoring and Analytics

Job ID: R-011361 Date posted: 09/25/2020 Primary Location CA-San Diego

SVP, Compliance Monitoring and Analytics

LPL Financial is seeking a dynamic and accomplished executive to serve as senior vice president and leader of the Compliance Monitoring and Analytics group.  This role will report directly to LPL’s Chief Compliance Officer and oversee a team responsible for the firm’s Surveillance, Branch Examinations, Monitoring Product Management and Compliance Analytics teams.  In addition, this role will be responsible for coordinating and delivering other compliance/2nd line monitoring capabilities.  The position may begin as a remote position, with the expectation that the person will be located in the San Diego, CA, or the Fort Mill, SC (Charlotte, NC Metro area) office when conditions improve.

Core Responsibilities:

  • Lead the team responsible for broker dealer and investment adviser surveillance and monitoring activities
  • Lead the team responsible for branch office examinations
  • Lead the team responsible for product management of monitoring tools, including the vision, design, maintenance, testing and optimization of the tools and platforms used for supervision, surveillance, financial crimes compliance, and other monitoring and testing activities
  • Lead the team responsible for compliance data analytics and process innovation, including the production of reporting and analyses and process reviews to facilitate insights and optimize the firm’s overall compliance monitoring and controls programs

Additional Responsibilities:

  • Play a key role in the Compliance, Legal and Risk (CLR) Transformation initiative, including leading work-streams focused on the overall optimization of monitoring controls and other CLR processes from an advisor experience, employee experience, risk mitigation, and scale/efficiency perspective
  • Represent the firm on industry committees, roundtables and seminars
  • Provide strategic guidance and support on special projects to the CCO and Compliance, Legal & Risk Leadership team


  • Bachelor’s degree preferred; additional degrees (JD, MBA) a plus
  • 10+ years Financial Services industry experience, with significant experience in senior level roles in broker-dealer and investment adviser compliance, legal/regulatory, risk, technology, operations, product management, or continuous improvement
  • Experience leading large-scale transformation or change initiatives
  • Experience designing and implementing new technology systems or digital tools
  • Experience in LEAN, Six Sigma, Agile and other modern management systems
  • Experience or familiarity with data science and advanced analytics techniques
  • Securities licenses preferred



  • Ability to understand the firm’s business strategy, stop and consider big picture, and see around corners
  • Ability to work with and communicate effectively to various levels throughout the organization, including interactions with LPL’s Management Committee and Board of Directors
  • Ability to be execute large initiatives at scale
  • Innovative and creative thinker

Problem Solver

  • Problem solving skills that enable thorough and efficient identification of issues, structuring and execution of analysis, development of actionable recommendations, and implementation of those recommendations
  • Proclivity for digging in, not stopping at the first answer, using data and metrics and considering multiple viewpoints
  • Excellent judgment, persuasion and negotiating skills
  • Ability to consider and balance various and competing priorities and serve multiple constituencies throughout the organization


  • Self-reliant, passion for execution and results
  • Holds oneself and team accountable for decisions, direction and deadlines
  • A natural forward planner who critically assesses own performance, that of the team and adjusts as needed.  Uses metrics and feedback loops to understand the health and progress of initiatives, can apply agile approach and other management techniques, ability to pivot
  • Understands and addresses the dynamic and working relationships of teams and functions
  • Excellence in change leadership and process improvement

Talent Manager

  • Ability to manage and lead geographically dispersed teams effectively in a dynamic and fast paced environment
  • Experience leading and motivating a direct report and cross-functional team and influencing others outside of direct reporting relationship
  • Ability to leverage others’ expertise and experience in identifying, evaluating and mitigating risks
  • Ability to both assess and develop talent
  • Effective communicator and motivator who can engage and inspire employees

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 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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  • Compliance, San Diego, California, United StatesRemove