AVP, Committee Governance - Program Compliance

Where Ambition Meets Innovation 

Build a career that matches all your initiative with an impressive dose of innovation. From cutting-edge resources and a collaborative environment to the freedom to make an impact and more, you’ll find the ingredients you need at LPL Financial to shape your success while helping clients pursue their financial goals. 

Job Overview:

The Assistant Vice President, Committee Governance role will be part of the LPL Program Compliance team and will serve as the secretary of the Regulatory Compliance Risk Committee (RCRC) and New Offerings Risk Committee (NORC).  This individual will leverage compliance and risk expertise to lead in the planning and execution of a comprehensive roadmap to transform product risk.  The ideal candidate will have a demonstrated track record of influencing senior and executive leadership, deep knowledge and passion for investment products, and strong interpersonal skills to engage across stakeholder groups and lead key product strategic initiatives.

We are looking for candidates who are adept at working with large data sets, finding insights, making presentations that tell stories from data insights, and creating committee accountability reports. The AVP role will also be responsible for coordinating a cross-organizational product risk transformation effort, working closely with leaders from across the organization, driving towards a common goal.

In this role you will support the Program Compliance department in a variety of ways including managing the “business as usual” (BAU) operating routines for the RCRC and NORC, including assisting in strategy formulation and prepping committee 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.  

Roles & Responsibilities:

Project Planning & Execution:

• Serving as the Secretary of the Regulatory Compliance Risk Committee and New Offerings Risk Committee, which includes
  • Consulting with Senior Leadership to guide them through the committee process
  • Credibly challenging submissions to ensure adequacy and completeness 
  • Drafting, circulating, and maintaining comprehensive meeting minutes to clearly articulate committee outcomes
• Credibly challenging product risks and assumptions across stakeholder groups
• Developing and implementing frameworks to enable consistent and rigorous monitoring across investment product types
• Play a lead role in planning and executing a comprehensive roadmap to transform and mature the product risk function
• Developing key product monitoring metrics to Identify and escalate product level breaches to Senor Leadership  

Data Analytics & Reporting:

• Leverage data to define project goals, identify opportunities for process improvements, track performance metrics, and assist Compliance with making data driven strategic decisions
• Conduct in-depth analysis to identify risks, trends, wins, and potential issues, providing actionable insights for leadership.
• Develop dashboards, reports, and presentations to communicate to senior leadership and executive stakeholders on key risk indicators and control effectiveness. 
• Leverage data to achieve executive buy-in: Incorporate data, including voice of the client and competitive intelligence, to facilitate compelling story-telling that leads to cross-functional executive alignment.

 
Process Improvement & Optimization:

• Use data to assess current processes, recommend improvements, and implement optimized workflows.
• Develop best practices and standardized procedures and/or infrastructures for the supported models to follow.

What we’re 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
• 5+ years of experience in Financial Services compliance
• Experience managing projects or programs

Core Competencies:

• Strategic thinker who can take broad visions and concepts and develop structured plans, actions, and measurable metrics and then drive cross-functional execution of those plans
• Excellent communication skills, with the ability to partner effectively with various levels within the organization and influence key decisions
• Ability to build presentations that convey a clear story supported by data findings
• Comfortable in ambiguous situations – self-starter and self-learner
• Multi-tasking skills with the ability to manage complex deliverables and meet strict deadlines

• 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

Preferences:

• FINRA series 7 and 24

 

Pay Range:

$104,957.00 - $174,997.00

 

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!

 

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(6) , LPL supports over 32,000 financial advisors and the wealth management practices of approximately 1,100 financial institutions, servicing and custodying approximately $2.3 trillion in brokerage and advisory assets on behalf of approximately 8 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. For further information about LPL, please visit www.lpl.com.

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.

For further information about LPL, please visit www.lpl.com.

Join LPL Financial: Where Your Potential Meets Opportunity

At LPL Financial, we believe that everyone deserves objective financial guidance. As the nation’s leading independent broker-dealer, we offer an integrated platform of cutting-edge technology, brokerage, and investment advisor services.

Why LPL?

• Innovative Environment: We foster creativity and growth, providing a supportive and responsive leadership team. Learn more about our leadership team here!

• Limitless Career Potential: Your career at LPL has no limits, only amazing potential. Learn more about our careers here!

• Unified Mission: We are one team on one mission—taking care of our advisors so they can take care of their clients. Learn more about our mission and values here!

• Impactful Work: Our size is just right for you to make a real impact. Learn more here!

• Commitment to Equality: We support workplace equality and embrace diverse perspectives and backgrounds. Learn more here!

• Community Focus: We care for our communities and encourage our employees to do the same. Learn more here!

• Benefits and Total Rewards: Our Total Rewards package goes beyond just compensation and insurance. It includes a mix of traditional and unique benefits, perks, and resources designed to enhance your life both at work and at home. Learn more here!

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.

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