Avp, Risk And Compliance

The Information Lifecycle Management team sits in our Compliance Operations organization and has responsibility for executing the firm's Books and Records Compliance program, ensuring that the Books and Records required of the firm are created and maintained in a manner that complies with the SEC, FINRA, MSRB, and others.

The Assistant Vice President (AVP) of Information Lifecycle Management will manage a team responsible for the oversight and performance of second-line controls which have been wholly designed to ensure regulatory recordkeeping compliance and will be tasked with addressing and/or escalating any risks or gaps identified as a result.

The right candidate will have the ability to identify, assess and mitigate risk while simultaneously enforcing compliance. He or she must possess a passion for leading and developing people and an ability to collaborate with all levels of management in solving complex problems. This role requires strong leadership and interpersonal skills, analytical and communication skills, the ability to work effectively across departments, and a deep awareness of the regulatory environment in which LPL operates.

Essential Functions:

• Execute effectively within a framework designed to ensure an industry-leading Books and Records Compliance program that adheres to SEC 17a-3, 17a-4, and FINRA 4511, among others;

• Manage a highly engaged team capable of collectively executing, and building upon, existing processes and controls to successfully address ongoing regulatory risks;

• Identify and respond to changes in the standard operating environment related to new or modified regulations, policies, procedures, systems, technology infrastructure, or vendor relationships;

• Provide subject matter expertise across the enterprise with regard to regulatory recordkeeping, as well as offer support to financial advisors on matters relating to the branch offices' adherence to books and records regulations and policy;

• Support all technology related aspects of an effective and compliant books and records management program, including oversight of control processes that address technological risk related to the firm's books and records and its ability to meet SEC 17a-4(f) electronic recordkeeping requirements;

• 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;

• Compile effective dashboards to communicate and illustrate risks, overall utilization, and other key performance indicators for consumption by senior leadership and other stakeholders;

• Lead, coach and mentor team members while supporting individual development plans, fostering a culture of continuous learning and development, aligning team goals with broader organizational objectives and identifying opportunities for growth and improvement.

Job Requirements: Minimum Education/Experience Required:

• Bachelor's degree in Business, Technology/MIS, Finance, or a related field

• 5+ years relevant experience in the financial services industry

• 2+ years in a management role involving team leadership and people management

• 2+ years experience in leading complex projects, including actively monitoring and tracking project progress, identifying risks, and implementing corrective actions to ensure timely and successful project delivery

Preferred experience:

• Working knowledge of SEC (17a-3 and 17a-4), FINRA, NFA, CFTC, and MSRB rules, particularly Books and Records requirements

• Working knowledge and understanding of the functions of electronic records management systems, including their capabilities, risk management intent and issues such as metadata, security, privacy, and access

• Experience working in a compliance, legal, technology or risk capacity

• Series 7/24 preferred

Pay Range:

$99,880-$149,820/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!

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.