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VP, Compliance Governance & Program Assessment

Job ID: R-011951 Date posted: 01/14/2021 Primary Location SC-Fort Mill Other Locations CA-San Diego

Are you excited by developing innovative ways to identify and prevent compliance risk?  If so, then this could be the role for you! 

The Vice President, Compliance Governance & Program Assessment, is a key member of the Compliance function responsible for assessing compliance risk and evaluating the design of the compliance program and the firm’s compliance control framework.  This role is responsible for setting standards for Compliance team governance, evaluating compliance program performance, and identifying opportunities to enhance compliance program design.  

Key Responsibilities:

  • Develop routines and tools to support strong governance across the Compliance Department
  • Administer a compliance program assessment to evaluate compliance program design and effectiveness
  • Develop Compliance Department documentation standards and templates, and oversee implementation of standards
  • Work with partners to develop compliance program performance and risk metrics, and develop routines to analyze and report those metrics
  • Work with Enterprise Risk Management to develop routines to support issues management for issues that implicate compliance
  • Oversee the Compliance Quality Control program

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

Success in this role means that within 9 months 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 evaluate and enhance a set of tools that Compliance leaders can use to enhance their governance programs, create a process to support Compliance teams with using these tools, and launch this process with a prioritized set of set of Compliance teams.

What are we looking for?

We want curious and independent thinkers with strong executive presence who can support senior Compliance leaders with evaluating their own teams and areas of responsibility.We are looking for people who thrive in a fast-paced environment, are client focused, team oriented, 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
  • 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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