AVP, Compliance Officer

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

Requirements :

• 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

Preferences :

• Series 7 / 24 Preferred
• Experience in Insurance / Annuities

Pay Range :

$101,900.00 - $169,900.00Actual 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!