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SVP, Head of Trading, Operations, Registration and FINOP Compliance

Job ID: R-007474 Date posted: 08/28/2019 Primary Location SC-Fort Mill Other Locations CA-San Diego

LPL is seeking a dynamic and accomplished compliance executive to serve as Senior Vice President (SVP) and head of Trading, Operations, Registration & Licensing (R&L), and Financial Operations (FINOP) Compliance.  This position will be part of the Compliance, Legal and Risk (CLR) organization, will report to the enterprise Chief Compliance Officer.  It involves managing a team of around 40 compliance professionals located in LPL’s San Diego, Fort Mill, and Boston offices, as well as remote locations.  The position can be located in either San Diego or Fort Mill.

Key Responsibilities:

  • Design, implement, enhance and manage the compliance oversight programs for the firm’s trading desks, service and operations functions, financial operations activities, and registration and licensing functions.  Responsibilities include:
    • Tracking and assessing the impact of relevant regulatory changes;
    • Development of policies and procedures, and supporting training and communications
    • Providing ongoing advice, guidance and challenge to the business units
    • Performing risk assessments of relevant laws, rules and regulations, and advising on and performing related controls testing
    • Managing and/or advising on significant cross-functional transformation projects, remediation activities, rule change implementations, acquisitions, and other related initiatives
    • Providing oversight of the functions performed by the trading and operations business units in offshore locations; ensuring robust design and maintenance of procedures, training of offshore personnel, management quality control, and other assessments and testing of the firm’s offshore infrastructure as appropriate

Additional Essential Functions:

  • Represent CLR and serve as an ambassador for other senior leaders across the organization in various capacities, which may include advisor home office visits and speaking with regulators, vendors, recruits, etc.
  • Promote a culture of high performance and continuous business process improvement that values learning and a commitment to quality, and drives efficiency using a proactive and anticipatory approach resulting in an enhanced advisor experience.
  • Participate in industry committees
  • Assess staff talent and provide feedback for employee development


  • Undergraduate degree in a related field; JD or other advanced level degree a plus
  • 15+ years Financial Services industry experience, with significant experience in compliance or risk management related to trading, operations, financial operations, registration and licensing
  • Securities licenses preferred
  • Ability to manage and lead geographically dispersed teams effectively in 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 work with and communicate effectively to various levels throughout the organization through daily interaction with LPL Financial Advisors as well as Senior and Executive Management across LPL
  • Ability to excel in a deadline driven, high-risk based environment, oversee and enforce Firm and regulatory requirements
  • Problem solving skills that enable efficient identification of issues; structuring and execution of analysis; development of actionable recommendations; and implementation of those recommendations
  • Change leadership excellence and experience to include LEAN principles and experience in integrations, offshoring, and other changes to the business model
  • Excellent judgment, superior problem solving and negotiating skills
  • Ability to leverage others expertise and experience in identifying, evaluating and mitigating risks
  • Operates in a team environment with a focus on employee satisfaction
  • Self-reliant, results oriented
  • 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
  • Mature, credible, trustworthy and comfortable dealing with senior executives

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
  • Service and Operations, San Diego, California, United StatesRemove
  • Service and Operations, Fort Mill, South Carolina, United StatesRemove