AVP, Governance and Controls

AVP Compliance Training Manager

What if you could build a career where ambition meets innovation? At LPL Financial, we empower professionals to shape their success while helping clients pursue their financial goals with confidence. What if you could have access to cutting-edge resources, a collaborative environment, and the freedom to make an impact? If you're ready to take the next step, discover what's possible with LPL Financial.

Job Overview :

The AVP position is responsible for overseeing and coordinating ongoing training and education programs for compliance staff, ensuring the completion and accuracy of annual compliance requirements. This role is critical in streamlining the annual firm element training process for registered representatives, strengthening controls, and ensuring adherence to regulatory requirements. The individual executes a consequence management framework for individuals not in compliance with training obligations.

Responsibilities :

• Oversee and coordinate compliance staff training and education initiatives
• Ensure timely completion and accuracy of annual compliance questionnaires
• Streamline and manage firm element training processes for registered representatives
• Strengthen compliance controls and enforce consequence management for non-compliance
• Develop and maintain Tableau dashboards for comprehensive compliance reporting
• Customize reporting solutions for various stakeholders
• Condense and improve annual compliance questionnaires for associated persons

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 :

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. 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.

Join LPL Financial : Where Your Potential Meets Opportunity