VP, Supervisory Controls Management

Role Overview

As a VP, Supervisory Controls Management, you’ll architect and continuously enhance LPL’s supervisory controls framework—translating complex regulatory requirements into scalable controls, lean routines, and governance structures that mitigate risk and elevate both advisor and supervisor experiences. You’ll own the multi-year strategic roadmap—curating, grooming, and prioritizing a dynamic pipeline of strategic initiatives (e.g., new supervisory tooling rollouts) and tactical optimizations (e.g., workflow reengineering), with clear KPIs, dashboards, and reporting cadences to measure outcomes and drive accountability. You’ll lead cross-functional initiatives—aligning Compliance, Operations, Technology, and Business Units from ideation through execution, and embedding policy attestations, audit-readiness reviews, and governance forums to ensure regulatory compliance and operational excellence. You’ll leverage industry benchmarking and data-driven insights—surfacing continuous improvement opportunities and fostering a culture of proactive risk management and innovation.

Key Responsibilities

• Framework Design & Optimization • Assess current policies, procedures, and control structures; recommend scalable improvements • Embed lean-process principles to reduce redundancy and speed decision-making
• Roadmap & Metrics • Develop and maintain a multi-year roadmap that balances strategic initiatives with tactical wins • Define KPIs and reporting cadence to track risk-mitigation outcomes and user-experience enhancements
• Cross-Functional Leadership • Lead teams spanning Compliance, Operations, Technology, and Business Units • Facilitate stakeholder alignment—from ideation through execution and governance
• Governance & Audit Readiness • Own policy attestations, regulatory inquiries, and audit responses • Ensure ongoing preparedness for FINRA, SEC, and state examinations
• Industry Benchmarking & Intelligence • Leverage external networks to surface best practices, emerging risks, and optimization opportunities • Drive continuous improvement by translating bench-mark insights into actionable projects

Required Qualifications

• 10+ years in financial-services supervisory controls or compliance roles
• 5+ years of people leadership, managing cross-disciplinary teams to deliver measurable outcomes
• Series 7, 66 (or 63 & 65), and 24 (or 9 & 10) licenses
• Bachelor’s degree in Business, Finance, or related field
• Deep understanding of FINRA, SEC, and state regulatory environments
• Advanced proficiency with Excel, Word, PowerPoint, SharePoint, and Visio
• Exceptional written/verbal communication and stakeholder-management skills
• Highly analytical with superior research, problem-solving, and project-management capabilities

Preferred Qualifications

• Prior supervisory or management experience in a large, complex organization
• Hands-on experience with lean/process-improvement methodologies
• Established industry network for benchmarking and best-practice sharing

 

Pay Range:

$123,225-$205,375/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) was founded on the principle that the firm should work for advisors and institutions, and not the other way around. Today, LPL is a leader in the markets we serve, serving more than 23,000 financial advisors, including advisors at approximately 1,000 institutions and at approximately 580 registered investment advisor ("RIA") firms nationwide. We are steadfast in our commitment to the advisor-mediated model and the belief that Americans deserve access to personalized guidance from a financial professional.

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 to run a thriving business. They have the flexibility to do business their way. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors and institutions, so they can take care of their clients.