AVP, Risk and Compliance

Assistant Vice President

At LPL Financial, we empower professionals to shape their success while helping clients pursue their financial goals with confidence. This Assistant Vice President (AVP) will support the Program Compliance department in a variety of ways including managing the "business as usual" (BAU) operating routines, including assisting in strategy formulation and prepping leadership 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.

Responsibilities :

• Build interactive dashboards and monthly reporting that leads to action and illustrate risks, overall utilization, and other key performance indicators for consumption by senior leadership and other stakeholders.
• Maintain subject matter expertise through on-going education and training activities.
• Assist with planning routines, OKR / KPI tracking and keeping business units accountable to improve KPIs, project portfolio health checks and track action items from leadership meetings.
• Execute effectively within a framework designed to ensure an industry-leading Compliance program that adheres to all regulatory requirements and firm policy.
• 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.
• Plan and own end to end execution of key initiatives as assigned.
• Collaborate with business units and leaders, be willing and excited to be a "utility player".

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 :

Core Competencies :

Preferences :

Pay Range : $101,925-$169,875 / 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!

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. LPL supports over 29,000 financial advisors and the wealth-management practices of 1,100 financial institution, servicing and custodying approximately $1.9 trillion in brokerage and advisory assets on behalf of approximately 7 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.

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.