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AVP, Governance and Controls

LPL Financial

LPL Financial

Charlotte, NC, USA · Remote
Posted on Thursday, August 24, 2023

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 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:

As part of the Compliance team, this role is responsible for conducting the annual assessment of polices and procedures, ensuring policies and procedures are reasonably designed to achieve compliance with all laws, rules, and regulations. Additionally, the role is responsible for maintaining relevant policies, develop a front-to-back understanding of the compliance risks and control frameworks associated with the Governance and Controls area of coverage, perform risk assessments, and support business partners in managing compliance risks. This role also engages with business partners to provide advice, guidance, and strategic support for key firm initiatives.


  • Review and inventory LPL’s processes for establishing, maintaining, and modifying its compliance policies and written supervisory procedures.

  • Summarize the Firm’s compliance efforts as specified in FINRA Rule 3120 and the Investment Advisors Act Rule 206(4)-7 including an annual summary of the testing results and significant exceptions for review and certification by key stakeholders of the Firm

  • Assist in the delivery and communication efforts for senior leadership pursuant to FINRA 3130

  • Support the Firm’s ongoing oversight programs by providing second line support for governance routines including active participation in various committee obligations

  • Assist with the compliance risk assessment and conflict identification processes

  • Proactively identify and escalate compliance and regulatory issues affecting the company’s compliance with rules and regulations

  • Partner with departments across the firm and other members of our Compliance and Risk team to provide advice and guidance on relevant projects, initiatives, and strategy efforts

  • Maintain a thorough and up-to-date understanding of regulations governing the company’s business through ongoing education and involvement in industry groups


  • Must have a bachelor’s degree

  • Minimum of 5+ years industry-related experience

Core Competencies:

  • Ability to successfully exhibit governance standards for senior leadership including ongoing documentation and reporting practices

  • Effective communication including excellent 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


  • Previous experience with compliance surveillance applications is a plus

  • 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:


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 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 (800) 877-7210.