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VP Compliance, Legal & Risk, Employee Experience and Communications

Job ID: R-018319 Date posted: 11/22/2021 Primary Location CA-San Diego Other Locations SC-Fort Mill

Are you a team player? Are you curious to learn? Are you interested in working in meaningful projects? Do you want to work with cutting-edge technology? Are you interested in being part of a team that is working to transform and do things differently? If so, LPL Financial is the place for you!

Excited to learn more? If so, then this could be the role for you!  

LPL Financial (Nasdaq: LPLA) was founded on the principle that the firm should work for the advisor, and not the other way around. Today, LPL is a leader* in the markets we serve, supporting more than 19,000 financial advisors, 800 institution-based investment programs and 450 independent RIA firms nationwide. We are steadfast in our commitment to the advisor-centered model and the belief that Americans deserve access to objective guidance from a financial advisor. At LPL, independence means that advisors have the freedom they deserve to choose the business model, services, and technology resources that allow them to run their perfect practice. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors, so they can take care of their clients.


The Vice President (VP), Employee Experience which includes the following professional attributes, Employee Engagement, Advisor and Employee Communications.  This individual will work closely with the SVP of Advisor and Employee Experience to ensure LPL Financial and the Compliance, Legal and Risk experience is best in class. This individual leads communication for and supports the strategic direction of the Compliance, Legal & Risk (CLR) organization and its Senior Leaders. Breaking down silos has been identified as a firm-wide priority, particularly as CLR continues to implement integrated functional responsibilities. This role will maintain and elevate CLR’s competitive advantage by ensuring that dots are appropriately connected across business units and providing a singular and focused “voice” for CLR.


  • Ownership of all Strategic and Executive Communications: Develop and maintain the organization’s strategic and executive communications, including:
    • CLR Strategy and Business Plan
    • Required monthly and quarterly reporting by CLR to various committees
    • Town Halls (planning, talking points, presentations, follow up)
    • Presentations to Chief Executive Officer, Management Committee, Board of Directors, and Board committees by Chief Legal Officer and CLR Senior Leader\\

  • Employee Communications: Ensure consistent communication to all CLR staff to support effective dissemination of critical information and high level of employee engagement. Review and consolidate group communications, as needed, to support clear information flow while avoiding duplication.
    • Develop, disseminate, and maintain CLR communications collateral and archives
    • Create inventory of internal communication vehicles (e.g., newsletters) across business units to understand current best practices and areas where improvements can be implemented
    • Identify needs that will promote communication excellence, such as making PowerPoint templates available
    • Research and develop best practices from outside CLR that may be leveraged for our organization
    • Leverage new channels and technologies to reach audiences where they are on their journey.

  • Corporate Communications partnership: Serve as the primary liaison with the Corporate Communications to enable consistent firm-level information flow and to effectively highlight CLR “wins” across the firm and with advisors.
    • Lead in marketing and communicating new CLR initiatives to support “running CLR like a business”
    • Develop integrated campaigns (including slip sheets, Resource Center documentation, videos) to publicize and promote CLR’s advisor-centric approach to compliance, legal, and risk management
    • Make collateral repository available to support advisor-facing interactions by CLR staff
  • Employee Engagement: Through engagement activities capture the pulse of the organization and develop innovative ways to keep all our employees engaged regardless of their location.
  • Drive CLR engagement initiatives that support employee feedback
  • Have the pulse of the organization and always monitoring employee sentiment
  • Create engagement opportunities that instill a sense of belonging and allow all for all employees to feel valued and heard.

  • Team Manager: Manage a small team of communication professionals that support both the advisor and employee communications.
  • Lead a team of communication professionals, assist with prioritization of work, career development, and innovative and creative thinking.

Requisite Experience and Expectations:

  • Strategic and innovative thinker
  • Communication professional that has creates narratives and is an amazing story teller.
  •  Experience with omni-channel communication techniques and ability to measure success of communication
  • Employee Engagement experience and ability to drive change
  • Ability to discern insights from employee engagement survey results
  • Ability to create content and communications at all levels and with all audiences
  • Demonstrated ability to be an effective liaison between practice groups and departments, a team leader, a team player
  • Excellent interpersonal skills, communication skills, research skills and management capabilities
  • Strong knowledge of financial services industry rules and regulations
  • Effective organization and project management skills
  • Expertise in PowerPoint, Word, and Visio
  • Familiarity with LPL branding and editorial guidelines

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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