AVP, Risk and Compliance

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:

This Assistant Vice President (AVP) will support the Program Compliance department in a variety of ways including managing the “business as usual” (BAU) operating routines, including assisting in strategy formulation and prepping leadership materials, researching and resolving department-level issues, and owning program/project management responsibilities for key initiatives.  This role requires close collaboration with key cross functional partners across the firm. 

Responsibilities:

• Build interactive dashboards and monthly reporting that leads to action and illustrate risks, overall utilization, and other key performance indicators for consumption by senior leadership and other stakeholders.

• Maintain subject matter expertise through on-going education and training activities.

• Assist with planning routines, OKR/KPI tracking and keeping business units accountable to improve KPIs, project portfolio health checks and track action items from leadership meetings.

• Execute effectively within a framework designed to ensure an industry-leading Compliance program that adheres to all regulatory requirements and firm policy,

• Develop and implement project management methodologies, processes, and best practices to optimize project delivery while providing direction and guidance to the team and stakeholders to ensure alignment with organizational goals and objectives

• Plan and own end to end execution of key initiatives as assigned.

• Collaborate with business units and leaders, be willing and excited to be a “utility player”.

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 finance, Business Administration or equivalent work experience

• FINRA series 7 and 24

• 5+ years of experience in Financial Services compliance

• Self-motivated, high energy and high-capacity mindsets are critical

• Creative, data-driven problem-solving skills

• Analytical and strategic skills; ability to communicate data concisely

• Strong project management skills, with a focus on cross-functional communication

• Strong proficiency in MS PowerPoint (and all other MS Office products)

• Must be able to work both autonomously and in highly collaborative ways

• Excellent written and verbal communication skills

• Teamwork orientation and a learn & grow attitude

Core Competencies:

• Superior people and communication skills

• Superior analytical skills with an ability to identify relevant data + insights and present in an actionable manner

• Advanced with MS Excel including pivot tables

• Experience translating data into insights into narratives / presentations

• Experience using data to uncover insights and drive action

Preferences:

• Superior presentation skills & ability to build a story narrative

• Able to take complex topics and make them easy to understand

#LI-PA

 

Pay Range:

$101,925-$169,875/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 marketpla