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Vice President, Compliance Controls Assessment & Testing

Job ID: R-011951 Date posted: 02/12/2021 Primary Location SC-Fort Mill Other Locations CA-San Diego

Do you have a passion for developing innovative ways to identify compliance risk? If so, then this could be the role for you! 

The Vice President, Compliance Controls Assessment & Testing, is a key member of the Compliance function responsible for assessing compliance risk and evaluating the design of the firm’s compliance control framework.  This role is responsible for leading the compliance controls assessment and testing function.  

Key Responsibilities:

  • Develop a methodology to assess the design of LPL’s control frameworks against the firm’s regulatory obligations and key compliance risks;
  • Develop a methodology to test the design and operating effectiveness of individual controls critical to compliance;
  • Lead a team of testers in executing these methodologies to assess the effectiveness of LPL’s controls;
  • Lead the annual process to prepare the firm’s 3120 and Investment Adviser Annual Review report.

Please note: Additional responsibilities or duties may be assigned to you as needed or determined.

Success in this role means that within 90 days of joining the company, you will have the opportunity to create an imprint on the Compliance department.  In that time you will be asked to lead a number of engagements to evaluate the effectiveness of LPL’s controls in different areas, and to lead the Compliance Testing Team in continuously improving its methodology to better identify control weaknesses.

What are we looking for?

We want strong people leaders who achieve results by enabling and supporting their team.  We are looking for people who have a strong executive presence, thrive in a fast-paced environment, are client focused, and are able to execute in a way that encourages creativity and continuous improvement.


  • 8+ years Financial Services industry experience, with significant experience in compliance, risk management, or audit, and 5+ years of experience leading a testing team or program
  • Ability to work with and communicate effectively to various levels throughout the organization through regular interaction with Senior and Executive Management across LPL
  • Knowledge of broker-dealer and investment advisor regulatory obligations
  • Ability to work independently to drive program forward with minimal oversight
  • Experience evaluating and implementing process and program changes

About CLR

The Compliance, Legal & Risk (CLR) team is focused on delivering an industry-leading client service and risk management experience by providing advisors and our internal business partners with proactive guidance, advice, advocacy and consultative partnerships.

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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