AVP, Governance and Controls

What if you could build a career where ambition meets innovation? At LPL Financial, we empower professionals to shape their success while helping clients pursue their financial goals with confidence. What if you could have access to cutting-edge resources, a collaborative environment, and the freedom to make an impact? If you're ready to take the next step, discover what’s possible with LPL Financial.

Job Overview:

The AVP position is responsible for overseeing and coordinating ongoing training and education programs for compliance staff, ensuring the completion and accuracy of annual compliance requirements. This role is critical in streamlining the annual firm element training process for registered representatives, strengthening controls, and ensuring adherence to regulatory requirements. The individual executes a consequence management framework for individuals not in compliance with training obligations.

Key responsibilities include establishing and maintaining a Tableau reporting dashboard for year-end compliance obligations, enabling customized reporting views for both internal and external stakeholders. The manager also streamlines and condenses the annual compliance questionnaire for associated persons, enhancing efficiency and improving data quality.

Responsibilities:

• Oversee and coordinate compliance staff training and education initiatives
• Ensure timely completion and accuracy of annual compliance questionnaires
• Streamline and manage firm element training processes for registered representatives
• Strengthen compliance controls and enforce consequence management for non-compliance
• Develop and maintain Tableau dashboards for comprehensive compliance reporting
• Customize reporting solutions for various stakeholders
• Condense and improve annual compliance questionnaires for associated persons

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
• Minimum of 5+ years industry-related experience

Core Competencies:

• Ability to successfully exhibit governance standards for senior leadership.
• Effective communication including excellent executive level written and oral communication skills
• Subject Matter Expertise: Maintain a thorough and up-to-date understanding of all relevant compliance risks, rules, and regulations
• Critical thinking and problem solving, need to be able to recognize and evaluate problems and identify solutions
• High ethical standards: maintain high ethical standards while executing responsibilities of the role
• Strong time management, organizational and project management skills, including the ability to handle multiple projects and manage deadlines in a fast-paced and demanding work environment
• Should have good interpersonal skills and ability to interact with members of senior management as well as adaptability and willingness to take on a wide variety of new tasks

Preferences:

• Series 7

 

Pay Range:

$103,425-$172,375/year

 

Actual base salary varies based on factors, including but not limited to, relevant skill, prior experience, education, base salary of internal peers, demonstrated performance, and geographic location. Additionally, LPL Total Rewards package is highly competitive, designed to support your success at work, at home, and at play – such as 401K matching, health benefits, employee stock options, paid time off, volunteer time off, and more. Your recruiter will be happy to discuss all that LPL has to offer!

 

Company Overview:

LPL Financial Holdings Inc. (Nasdaq: LPLA) is among the fastest growing wealth management firms in the U.S. As a leader in the financial advisor-mediated marketplace. LPL supports over 29,000 financial advisors and the wealth-management practices of 1,100 financial institution, servicing and custodying approximately $1.9 trillion in brokerage and advisory assets on behalf of approximately 7 million Americans. The firm provides a wide range of advisor affiliation models, investment solutions, fintech tools and practice management services, ensuring that advisors and institutions have the flexibility to choose the business model, services, and technology resources they need to run thriving businesses.

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