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SVP, Technology Compliance

Job ID: R-003696 Date posted: 07/24/2018 Primary Location SC-Fort Mill Other Locations CA-San Diego

The SVP, Technology Compliance is a full time position located in Fort Mill as part of LPL’s Compliance, Legal and Risk (CLR) organization. This role will provide advice, guidance and expertise to Technology teams. 

The successful candidate will ensure that regulatory and compliance risks are appropriately identified, measured, analyzed, reported and managed. As a technology, risk and compliance professional, the SVP, Technology Compliance will have the opportunity to build a Technology Compliance oversight program to focus on critical compliance risks, and influence technology and business unit strategy, framework and processes.

Essential Functions:

  • Support the review and assessment of new technology and technology-related business initiatives, products and services to ensure regulatory compliance requirements are addressed.
  • Identify, assess, escalate and report regulatory and compliance issues.
  • Develop compliance oversight monitoring processes and management reporting.
  • Serve as a subject matter expert in technology risk, controls, compliance, and best practices.
  • Actively participate in risk assessment processes.
  • Monitor changes in the technology regulatory environment and advise on regulatory considerations and implications.
  • Develop and deliver reporting and presentation materials.
  • Point of contact for Technology compliance inquiries and issues; build strong professional relationships and serve as liaison.
  • Conduct assigned responsibilities within the overall Compliance function and execute a range of complex tasks and analyses to support achievement of operating objectives and compliance risk management.
  • Develop, review and revise Compliance manuals, policies, procedures, protocols and management reporting.
  • Engage with key internal partners on various relevant risk mitigation activities and initiatives.


  • BA/BS degree or higher required
  • Minimum 7+ years working with various types of broker-dealer, investment advisory and/or regulatory technology
  • Thorough understanding Software Development Life Cycle phases
  • Strong knowledge of emerging technologies pertaining to regulatory requirements
  • Solid understanding of project management processes, documentation, and sign-off authorities
  • Team player who is self-motivated and goal-oriented
  • Working knowledge of data analytics

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