AVP, Sponsor 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:

The AVP, Sponsor Compliance is responsible for programmatic oversight of the team managing the sponsor reimbursement and gifts & entertainment responsibilities within the broader Governance & Controls team for the LPL Compliance organization.  Sponsor Compliance is a key function to ensure regulatory compliance on key value adds the firm provides to our advisors.

Responsibilities:

• Directly manage the Sponsor Compliance team responsible for processing requests in MyComplianceOffice (MCO), including performance coaching and development and oversight of work product

  • Proactively manage volume for the team, anticipating downstream impacts to sponsors and client compensation

  • Set measurable team goals to foster operational excellence

• Manage team escalations

  • Identify escalation issues (workflow and backlog), including root cause analysis to mitigate future impacts

• Provide strategic recommendations to the Vice President to refine and enhance the operating model of the team, creating a more streamlined experience across supporting partners

• Drive strategic problem-solving efforts for the team to deliver solutions that balance the requirements of the firm and the business needs of our advisors

• Identify and establish controls, documenting to ensure adherence to established processes and procedures, updating to ensure controls reflect changes resulting from process improvements and/or policy changes

• Resolve key friction points the team encounters through collaboration across teams and creative problem solving while ensuring visibility and oversight by the Vice President

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 a related field; advanced degree a plus

• Minimum of 6+ years relevant experience

Core Competencies:

• Problem solving skills that enable efficient identification of issues; structuring and execution of analysis, development of actionable recommendations, and implement of those recommendations.

• Excellent verbal and written communication skills with experience in writing reports or presenting to senior management

• Strong analytical skills with high attention to detail and accuracy

Preferences:

• Securities registration preferred

 

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 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.

At LPL, independence means that advisors and institution leaders have the freedom they deserve to choose the business model, services, and technology resources that allow them