VP, Govn, Risk & Compliance

Lead with Purpose, Unlock Your Team’s Passion

At LPL, people leaders hold the key to the employee experience — shaping culture, driving performance, and guiding individuals to new heights. Because when that happens, we all win – clients, LPL, and most importantly our, employees.

If you're ready to lead with intention and discover what’s possible, LPL Financial invites you to apply today.

The Vice President of E-Communications Compliance is a senior leader responsible for the strategic direction, governance, and execution of second-line oversight for all electronic communications technologies across the firm. This leader drives enterprise-wide compliance with regulatory requirements while enabling innovation in digital communication tools.

The VP will lead a high-performing organization overseeing controls, risk identification, and regulatory adherence across all e-communications channels. This includes influencing enterprise technology strategy, advising executive stakeholders, and ensuring scalable, forward-looking compliance frameworks.

This role requires exceptional leadership, executive presence, deep regulatory expertise, and the ability to partner across business, technology, legal, and risk functions to balance innovation with effective risk management.

Responsibilities:

Strategic Leadership & Governance

• Define and execute the enterprise strategy for E-Communications Compliance aligned with regulatory expectations and LPL’s digital transformation roadmap

• Establish and maintain a robust second-line risk and controls framework governing all electronic communications platforms

• Serve as a trusted advisor to senior executives on regulatory risk, emerging trends, and compliance strategy

• Drive continuous improvement and innovation in surveillance, monitoring, and control effectiveness

Team Leadership & Organizational Development

• Lead, develop, and scale a team of managers, analysts, and senior professionals, fostering a culture of accountability, collaboration, and excellence

• Provide vision, coaching, and performance management aligned to business goals and talent development

• Build organizational capability to support evolving digital communication technologies and regulatory expectations

Risk Oversight & Regulatory Compliance

• Oversee compliance of all electronic communication channels including email, text messaging, chat, social media, marketing platforms, scheduling tools, and client portals

• Ensure adherence to SEC, FINRA, state regulations, and internal policies

• Proactively identify, escalate, and resolve compliance risks, control gaps, and emerging regulatory requirements

• Lead regulatory engagement and support audits, exams, and inquiries related to E-Communications

Cross-Functional Partnership

• Partner with Technology, Product, Legal, Supervision, and Business Leaders to ensure compliant design and deployment of digital communication tools

• Influence enterprise initiatives involving advisor technology, digital engagement, and automation

• Act as escalation point for complex compliance issues and ensure timely resolution

Operational Excellence & Innovation

• Drive the implementation of scalable systems, tools, and automation to enhance monitoring and compliance effectiveness

• Champion data-driven decision-making and advanced analytics within compliance processes

• Lead large-scale, complex initiatives and transformation programs impacting firm-wide communications oversight

What are we looking for?

We’re looking for strong collaborators who deliver exceptional client experiences and thrive in fast-paced, team-oriented environments. Our ideal candidates pursue greatness, act with integrity, and are driven to help our clients succeed. We value those who embrace creativity, continuous improvement, and contribute to a culture where we win together and create and share joy in our work.

Requirements:

• Bachelor’s degree in Business, Finance, Technology, or related field

• 10+ years of experience in financial services, compliance, legal, or risk management

• 5+ years of leadership experience with increasing scope, including managing managers and large teams

Core Competencies:

• Deep expertise in electronic communications regulations, including SEC, FINRA, and state requirements

• Proven experience leading enterprise-level programs and complex reg