AVP, Compliance Officer
LPL Financial Holdings, Inc.
Fort Mill, SC, USA
Published 1 month ago
Business Compliance
Are you interested in being part of a team that is working to transform and do things differently? Do you enjoy doing impactful work while meeting critical timelines? Are you interested in working on meaningful projects? Do you want to work with innovative technology? 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 18,000 financial advisors, 800 institution-based investment programs and 450 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:
We are currently looking for a highly motivated Compliance professional for the AVP, Compliance Officer role supporting our newest Broker-Dealer/Investment Advisory firm, LPL Enterprise. This role will work with the Chief Compliance Officer to assure the firm establishes and maintains a robust compliance program designed to achieve and maintain adherence with applicable laws and regulations governing the sales practices for Investment Advisory and Broker-Dealer activities. The LPL Compliance team provides compliance support to LPL holistically to identify and address matters impacting the activities of the firm and partnering broadly to address the needs of our business partners as well as protect the firm and our advisors through prudent and effective control design and implementation.
In addition, members of the compliance team are expected to assist in identifying and mitigating key risk areas by assisting in various regulatory and business-driven initiatives. The ideal candidate will possess a strong understanding of regulatory requirements related to the sale of securities products as well as the operations of an introducing Broker-Dealer/Investment Advisor.
Responsibilities:
$101,900.00 - $169,900.00
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.
Want to hear from our employees on what it's like to work at LPL? Watch this!
We take social responsibility seriously. Learn more here
Want to see info on our benefits? 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.
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 18,000 financial advisors, 800 institution-based investment programs and 450 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:
We are currently looking for a highly motivated Compliance professional for the AVP, Compliance Officer role supporting our newest Broker-Dealer/Investment Advisory firm, LPL Enterprise. This role will work with the Chief Compliance Officer to assure the firm establishes and maintains a robust compliance program designed to achieve and maintain adherence with applicable laws and regulations governing the sales practices for Investment Advisory and Broker-Dealer activities. The LPL Compliance team provides compliance support to LPL holistically to identify and address matters impacting the activities of the firm and partnering broadly to address the needs of our business partners as well as protect the firm and our advisors through prudent and effective control design and implementation.
In addition, members of the compliance team are expected to assist in identifying and mitigating key risk areas by assisting in various regulatory and business-driven initiatives. The ideal candidate will possess a strong understanding of regulatory requirements related to the sale of securities products as well as the operations of an introducing Broker-Dealer/Investment Advisor.
Responsibilities:
- Developing and maintaining policies and procedures and the overall design and maintenance of LPL's Compliance Program.
- Execute on strategic approaches to compliance reviews, issues and/or concerns to minimize the company's exposure.
- Establish policies and procedures related to conflicts of interest.
- Monitor the firm's sales practices and adherence to rules and regulations.
- Oversee the review of advertising and marketing materials to ensure compliance with regulations.
- Lead the firm's compliance education efforts, as well as the tracking of completion of those requirements.
- Establish the strategic direction for all compliance initiatives.
- Annually oversee supervisory controls testing and report gaps to senior management.
- Assist on special projects and ad hoc assignments.
- Provide key input and guidance to governance and steering committees to ensure Compliance considerations are central to the decision making processes of the business
- 3-5 years experience working within the broker/dealer space
- Bachelor's Degree
- Advanced knowledge of SEC and FINRA rules and regulation
- Working knowledge of data analytics and management reporting
- Excellent oral and written communication skills and the ability to interact at a senior level, both internally and externally
- Interpretative thinking and advanced analytical skills to problem-solve in often complex situations
- Series 7/24 Preferred
- Experience in Insurance/Annuities
$101,900.00 - $169,900.00
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.
Want to hear from our employees on what it's like to work at LPL? Watch this!
We take social responsibility seriously. Learn more here
Want to see info on our benefits? 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.