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The health and safety of our employees and candidates is very important to us. Due to the current situation related to the Novel Coronavirus (COVID-19), we’re leveraging our digital capabilities to ensure we can continue to recruit top talent at LPL Financial.As your application progresses, you may be asked to use one of our digital tools to help you through your recruitment journey. If so, one of our recruiters will explain what type of interviewing technology will be used throughout the recruitment process and will be on hand to answer any questions that you have. You can also email us at LPLFinancialHiring@lplfinancial.com.
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VP Compliance Monitoring and Analytics

Job ID: R-019878 Date posted: 12/03/2021 Primary Location CA-San Diego Other Locations TX-Austin

The Compliance Monitoring and Analytics (CMA) business unit is a high-performing group focused on integrating advanced data analytics into the Compliance, Legal and Risk’s (CLR) monitoring and testing functions to create the most effective, automated, risk-based programs in the industry. Key focus areas include automation of manual processes via RPA, machine learning and other automation techniques, as well as formulating insights through analysis of complex data sets and data visualization.

This Vice President of CMA is a new role and will be responsible for creating and evolving the data analytics strategy for the monitoring and testing functions within the CLR organization. The VP will lead a small team of data analytics experts and work closely with the Branch Exams, Compliance Testing, Supervision, and Surveillance Program owners on initiatives to integrate advanced analytics into their risk programs, with a heavy focus on data acquisition and advising on the use of complex data sets to develop monitoring controls and evaluate the effectiveness of existing controls.

Do you have a passion for applying analytics tools to automate manual processes and uncover novel insights that drive real business outcomes?

Would you like to be involved in the strategy to transform a Compliance monitoring and testing organization through advanced analytics?

Do you already have 7+ years of experience in advanced analytics expertise and leading small teams?

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

The VP, Data Analytics sits within the Compliance Monitoring and Analytics team and will set the strategy as it relates to the integration of advanced analytics into the firm’s compliance monitoring and testing functions.

What will you do?

  • In partnership with SVP Compliance Monitoring and Analytics, create a scalable strategy to integrate advanced analytics into CLR’s monitoring and testing functions
  • Leverage data acquisition and advanced analytics to formulate insights and solve complex business problems for stakeholders across CLR, including analysis of complex data sets, data visualization, risk assessments, controls effectiveness testing, and next-best action
  • Support scale initiatives within CLR’s monitoring and testing functions through the use of RPA, AI and other automation techniques.
  • Build and maintain a network within the LPL and broader data analytics community to share best practices, accelerate learning, solicit feedback and stay current on innovative use cases.

What does your success look like in the first 90 days?

Your first three months will be spent getting up-to-speed on the various use cases and business problems facing our compliance monitoring and testing teams. You will be introduced to LPL’s internal data science community. In parallel, you and the SVP Compliance Monitoring and Analytics will create an initial strategy and roadmap, set the foundation for sustained data acquisition, and recruit for open positions. Initial execution will center on the Trade Surveillance function, creating a use case from which to learn and iterate.

What are we looking for?

We want strong collaborators with a technical background who can deliver a world-class client experience. 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, continuous learning and continuous improvement.

What skills, experiences, and education are required?

  • 7+ years of experience in advanced analytics
  • Highly skilled in advanced analytics, including predictive modeling and machine learning algorithms, and other logistic regression techniques. Proficiency in statistical analysis languages such as R or Python.
  • Experience working with relational databases, e.g., SQL Server, Oracle, distributed technologies such as Hadoop, Spark and Cloud based platforms like AWS.
  • Exceptional problem solving skills that enable efficient identification of issues, development of  hypotheses, and the execution of robust quantitative analyses to answer business questions
  • Ability to translate highly technical work into understandable, executive friendly language and concepts

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.

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 @lplfinancial.com 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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