AVP, Program Execution

Are you a team player? Are you curious to learn? Are you interested in working in meaningful projects? Do you want to work with cutting-edge technology? Are you interested in being part of a team that is working to transform and do things differently? If so, LPL Financial is the place for you!

LPL Financial (Nasdaq: LPLA) was founded on the principle that the firm should work for the advisor, and not the other way around. Today, LPL is a leader* in the markets we serve, supporting more than 22,000 financial advisors, 1,100 institution-based investment programs, and 500 independent RIA firms nationwide. We are steadfast in our commitment to the advisor-centered model and the belief that Americans deserve access to personalized guidance from a financial advisor. At LPL, independence means that advisors have the freedom they deserve to choose the business model, services, and technology resources that allow them to run their perfect practice. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors, so they can take care of their clients.

Job Overview:

As part of the Compliance team, this role is responsible for the successful execution and management of key regulatory obligations including the Firm’s annual assessment of policies, procedures and controls associated with LPLF and LPLE’s compliance program. In addition, this individual will maintain direct responsibility for other program compliance initiatives including the Firm’s compliance training and annual questionnaire activities. The role assists in conducting the annual assessment of policies and procedures, ensuring polices and procedures are reasonably designed to achieve compliance with all laws, rules, and regulations. Additionally, this role will engage with business partners to provide advice, guidance, and strategic support for key firm initiatives.

Responsibilities:

• Conduct a comprehensive needs analysis assessment to identify the educational and training needs of the firm

• Establish a Firm Element plan that meets regulatory requirements and addresses identified needs

• Implement the Firm Element plan, coordinating with various stakeholders to ensure effective execution

• Monitor progress of Firm Element and the Annual Compliance Questionnaire, providing reporting to senior leadership, ensuring timely completion and compliance

• Collaborate with content owners to develop and update questions for the annual compliance questionnaire

• Enhance and evolve the annual compliance questionnaire process to improve ease of use and increase responsiveness

• Review completed annual compliance questionnaires to identify areas of concern or non-compliance, escalating to content owners as necessary

• Lead a team of 3 individuals supporting Firm Element and the Annual Compliance Questionnaire processes

Requirements:

• Minimum of 5+ years of compliance experience

• Prior leadership/team lead experience

• Experience managing projects

Core Competencies:

• Strong analytical skills and attention to detail

• Excellent problem-solving abilities

• 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

Preferences:

• Bachelor’s degree

• FINRA licenses 7, 24

• 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

Pay Range:

$103,400.00 - $172,400.00

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!

Why LPL?

At LPL, we believe that objective financial guidance is a fundamental need for everyone. As the nation’s leading independent broker-dealer, we offer an integrated platform of proprietary technology, brokerage, and investment advisor services. We provide you with a work environment that encourages your creativity and growth, a leadership team that is supportive and responsive, and the opportunity to create a career that has no limits, only amazing potential.

We are one team on one mission. We take care of our advisors, so they can take care of their clients.

Because our company is not too big and not too small, you can seize the opportunity to make a real impact. We are committed to supporting workplace equality, and we embrace the different perspectives and backgrounds of our employees. We also care for our communities, and we encourage our employees to do the same. This creates an environment in which you can do your best work.

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Join the LPL team and help us make a difference by turning life’s aspirations into financial realities. Please log in or create an account to apply to this position. Principals only. EOE.

Information on Interviews:

LPL will only communicate with a job applicant directly from an @lplfinancial.com email address and will never conduct an interview online or in a chatroom forum. During an interview, LPL will not request any form of payment from the applicant, or information regarding an applicant’s bank or credit card. Should you have any questions regarding the application process, please contact LPL’s Human Resources Solutions Center at (855) 575-6947.