VP Trading & Operations Compliance--Blue SkyApply Job ID: R-001980 Date posted: 02/01/2018 Primary Location CA-San Diego Other Locations SC-Fort Mill
The Trading & Operations Compliance Vice President will be responsible for the establishment and implementation of an enhanced Blue Sky Compliance Program. The VP will coordinate compliance with Blue Sky requirements across LPL functional areas, including Service, Trading & Operations, New Products, Enterprise Risk Management and Market Surveillance to address compliance practices and issues related to all Blue Sky requirements.
- Develop, review and implement policies and procedures related to Blue Sky requirements
- Ability to articulate complex Blue Sky rules in written policies and procedures
- Help implement automated and manual controls
- Provide guidance on Blue Sky requirements relating to trading, sales practices, holdings, registration, and other requirements and interpretation of internal compliance policies
- Assist in the development and administration of compliance training and educational material for trading, operations and other internal areas
- Research securities and new rules/rule changes and implement policies, procedures or other controls necessary to comply with the Blue Sky requirements
- Serve as liaison between Compliance and other areas of the firm
- Assist in regulatory inquiries and/or examinations
- Coordinate with Internal Audit and Risk Management
- Participate on NASAA, SIFMA, & FINRA calls and conferences
- Monitor trade and other data to ensure compliance
- Bachelor’s degree; advanced degree a plus
- 10+ years’ experience in broker-dealer compliance or regulation
- Significant compliance experience with respect to Blue Sky requirements
- Strong knowledge of requirements applicable to low-priced and restricted securities
- BETA knowledge a plus
- Ability to clearly and concisely articulate complex subjects verbally and in writing
- Fort Mill, SC or San Diego, CA
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.
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.