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VP, Electronic Communications Compliance

Job ID: R-003092 Date posted: 06/05/2018 Primary Location CA-San Diego Other Locations SC-Fort Mill

The VP of Electronic Communications (eComm) Compliance will be responsible for ensuring the capture, archive, retrieval and supervision of eComm enterprise-wide in alignment with SEC, FINRA and other regulatory requirements.  The individual will be responsible for working with individuals at staff to executive level in the various units within LPL Financial including, Technology, Operations, Sales Consulting, Investor Solutions and Recruiting to complete the various functions noted below.  This position requires detailed knowledge of eComm Compliance and related technologies, excellent communication and writing skills, attention to detail and the ability to manage multiple high-level priorities simultaneously, some project management experience, and ability to influence to mutually satisfactory outcomes.    

Essential Functions:

  • Managing the eComm Compliance Team;
  • Supporting corporate initiatives and changes that impact the firm’s management of eComm;
  • Enhancing the knowledge and awareness of LPL employees and advisors regarding all aspects of eComm compliance;   
  • Managing and improving processes and key controls; and
  • Enhancing formal and informal technology capabilities to facilitate a more effective compliance, supervision and eDiscovery program.

Qualifications:

  • Minimum of 5 + years experience in the financial services industry in a compliance, legal, technology or risk capacity, focused on electronic communication compliance;
  • Working knowledge and understanding of the functions of electronic record, document, or image management systems, including their capabilities, risk management intent and issues such as metadata, security, privacy, and access;
  • Firsthand experience in designing, building and overseeing corporate compliance/risk management programs;
  • Excellent understanding of industry best practices on eComm Compliance; and
  • Working knowledge of SEC., FINRA, NFA, CFTC, and MSRB rules especially books and records and eComm compliance/supervision.
  • Minimum Education Required:  Bachelor’s Degree
  • Minimum Experience Required:
  • Licenses/Certifications Required: Series 7
  • Licenses/Certifications Preferred:  Series 24 (or willingness to obtain within 12 months)
  • Software/Systems Skills Required/Preferred: Advanced Microsoft (Word, Excel, Access and PowerPoint), Visio, Adobe Acrobat, SharePoint and Outlook

Additional skills required:

  • Personable and reliable self-starter who requires minimal management oversight for day-to-day work responsibilities;
  • Strong attention to detail with a pro-active approach to solving and preventing problems;
  • Ability to work under pressure/deadlines and manage multiple priorities;
  • Ability to interface effectively with all levels of management;
  • Exceptional interpersonal and partnership skills and the ability to positively influence outcomes, particularly in difficult matters;
  • Strong time management and organization skills; and
  • Highly motivated and able to adapt to changing priorities.

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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