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VP, ERISA and Retirement Oversight

Job ID: R-001998 Date posted: 01/05/2018 Primary Location SC-Fort Mill Other Locations CA-San Diego

The VP, ERISA and Retirement Oversight, Advice and Guidance, will be located in either Fort Mill, SC or San Diego, CA office within LPL’s Compliance, Legal and Risk (CLR) organization. The individual will lead the ERISA and Retirement initiatives within the CLR organization as well as partner with our various business partners. 

The primary purpose of this position is to provide direction and leadership within CLR and the LPL organization.  Including, maintaining and enhancing the compliance programs and establishing consistency across the firm relating to Retirement, ERISA and DOL products, services and platforms to ensure compliance with the various regulatory requirements impacting the firm, our advisors and the participants in the retirement plans.  This role will lead the CLR efforts to identify issues, guide policies and procedures, advocating testing and define training requirements as well as ensure compliance obligations for the firm to offer retirement product and services.  The individual will work closely with LPLs legal team, Retirement Partners, IA and B/D CCOs and Leadership Teams.

Essential Functions:

  • Must be a Subject Matter Expert in ERISA and Retirement plans.
  • Provide strategic direction and leadership to LPL in maintaining and enhancing our respective compliance programs and establishing consistency across the firm relating to Retirement products and services to ensure compliance with the expanding regulatory requirements and contractual commitments impacting the firm, its clients and the participants in client retirement plans. 
  • Coordinate compliance activities impacting Retirement services and products across the firm to identify areas of compliance program improvement, assist with issue and problem resolution, and to implement policies and procedures as needed to add value to the firm’s Retirement services and products. 
  • This role is expected to be proactive in identifying issues and be able to easily shift priorities as needed to meet the varied needs of the Business Units supported. 
  • As new regulatory rules are passed and existing rules continue to evolve, works with appropriate partners to research and understand the rules, as well as help determine or develop recommendations with regard to the impact to firm and various ERISA and Retirement platforms. 
  • Strong executive presence with the ability to interact with and influence LPL Senior Management
  • With little direct supervision, problem solve a myriad of issues relating to compliance, operations, and technology concerns.
  • Provide key input and guidance to governance and steering committees to ensure Compliance considerations are central to the decision making processes of the business.
  • Develop and maintain effective relationships with senior leaders, advisors, vendors, and other key stakeholders. Maintain effective working relationships with all internal constituents, including business and functional leaders.
  • Assist on special projects and ad hoc assignments.


  • Bachelor’s degree or higher
  • Series 7, 24 and 65/66 preferred
  • Extensive background in Compliance at a financial services firm with 10+ years of progressive experience
  • Must have expert knowledge and experience with ERISA, Retirement and DOL rules and regulations
  • Experience in monitoring a surveillance or oversight function
  • Ability to work in a team-based environment, possessing confidence in decisions
  • Ability to guide the company through difficult and challenging decisions
  • Excellent oral and written communication skills and the ability to interact at a senior level, both internally and externally
  • Interpretative thinking and advanced analytical skills to problem-solve in often complex situations
  • Experience at presenting at conferences and panels
  • Interacting with regulators and regulatory agencies
  • Ability to work in a fast-paced environment

Our Company:

LPL Financial, the nation’s largest independent broker/dealer since 1996* and the fourth largest broker/dealer overall, serves as an enabling partner to more than 14,000 independent financial advisors and approximately 700 financial institutions. Since its formation decades ago, LPL has focused on one primary mission -- enabling independent financial advisors to bring objective and un-biased financial advice to millions of Americans. 

Headquartered in Boston, San Diego, and Fort Mill, and powered by more than 3,300 client-centric employees, LPL is financially strong and growing.

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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