AVP, Conflicts & Disclosures

Lead with Purpose, Unlock Your Team’s Passion

At LPL, people leaders hold the key to the employee experience — shaping culture, driving performance, and guiding individuals to new heights. Because when that happens, we all win – clients, LPL, and most importantly our, employees.

If you're ready to lead with intention and discover what’s possible, LPL Financial invites you to apply today.

Job Overview:

The AVP, Conflicts & Disclosures within LPL’s Compliance organization will support and help lead the firm’s enterprise‑wide Conflicts of Interest and Disclosures Management programs. This role is responsible for ensuring effective identification, assessment, documentation, governance, and ongoing oversight of conflicts of interest and related disclosures across the organization.

This individual will develop and maintain policies and procedures, support training and education efforts, partner with business units to assess conflicts risks, and contribute to a strong and transparent governance framework. Success in this role requires exceptional analytical and communication skills, strong relationship‑building abilities, and the capability to work effectively with senior and executive leadership. The AVP will play a critical role in strengthening the firm’s control environment and supporting a culture of risk awareness, transparency, and ethical decision‑making.

Responsibilities:

• Lead and enhance the firm’s Conflicts of Interest and Disclosures Management programs, supporting consistent governance and documentation firmwide.
• Identify, assess, and maintain an enterprise inventory of conflicts of interest and related disclosures in partnership with business units and risk stakeholders.
• Develop, implement, and maintain policies, procedures, and governance frameworks aligned with regulatory expectations and industry best practices.
• Design and deliver targeted training and educational materials to increase awareness of conflict-related and disclosure‑related requirements.
• Partner with senior and executive leaders to provide guidance, insights, and recommendations regarding potential conflicts or disclosure risks.
• Support regulatory examinations, internal audits, and compliance reviews by coordinating responses, preparing documentation, and supporting remediation activities.
• Collaborate with cross‑functional teams to ensure conflicts and disclosures processes align with business operations and risk management practices.
• Monitor industry developments, regulatory changes, and firm‑level initiatives to proactively assess their impact on conflicts and disclosures governance.
• Develop and deliver high‑quality reporting, dashboards, and metrics for governance committees and management.
• Promote a strong ethical culture by advising business partners on conflicts mitigation, transparency, and effective controls.
• Contribute to the enhancement of systems and tools used to document, track, and manage conflicts and disclosures.

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 Business, Finance, Law, Risk Management, or a related field.
• Industry certifications such as CAMS, CRCM, ICA, Series 7/24, or similar.
• 5–8+ years of experience in compliance, risk management, legal, internal audit, or similar control‑function roles within financial services.
• Demonstrated experience with conflicts of interest programs, disclosures governance, or related regulatory initiatives.
• Advanced proficiency with data and reporting tools (e.g., Excel, SharePoint, Tableau, or comparable systems).

Core Competencies:

• Analytical and critical‑thinking abilities with the capability to interpret and apply regulatory expectations.
• Written and verbal communication skills, including experience drafting policies, procedures, training, and executive‑level reporting.
• Proven ability to influence and collaborate with senior leaders and cross‑functional teams.
• Experience supporting regulatory exams, internal audits, or compliance assessments.
• Strong organizational skills with the ability to manage multiple priorities and deliver results under tight timelines.
• Understanding of broker‑dealer and/or investment advisory regulatory frameworks, particularly those involving conflicts and disclosures.

 

Pay Range:

$104,983-$174,971/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(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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