AVP, Compliance Testing

LPL Financial • Fort Mill, SC

2d • $104,983 - $174,971

About The Position

LPL Financial is seeking an experienced and strategic Assistant Vice President (AVP), Compliance Testing to join our Compliance team. This role is responsible for overseeing the execution of compliance testing engagements and ensuring the effectiveness of the firm’s compliance control framework. The AVP will provide leadership, guidance, and oversight to the Compliance Testing team, ensuring adherence to regulatory obligations and internal standards while driving continuous improvement in testing methodologies.

Requirements

• Bachelor’s degree in business, Finance, or a related field.
• Minimum of 5 years of experience in the financial services industry, with a strong focus on compliance testing and regulatory oversight.
• In-depth knowledge of broker-dealer and investment advisor regulatory obligations.
• Proven ability to lead teams and manage multiple priorities effectively.
• Strong analytical and problem-solving skills with exceptional attention to detail.
• Excellent communication skills, including experience presenting to senior and executive leadership.
• Advanced proficiency in Microsoft Excel, Word, PowerPoint, SharePoint, and Smartsheet.

Nice To Haves

• Experience managing compliance testing programs in large, complex organizations.
• Familiarity with governance, risk, and compliance (GRC) platforms (e.g., Archer, MetricStream).
• Exposure to data visualization tools (e.g., Power BI, Tableau) and process improvement methodologies.

Responsibilities

• Provide oversight and leadership for the Compliance Testing function, ensuring timely and accurate execution of risk-based testing engagements.
• Develop and enhance the compliance testing methodology to evaluate the design and operating effectiveness of controls against regulatory requirements.
• Review and approve testing plans, workpapers, and reports to ensure quality and consistency across engagements.
• Serve as a key point of escalation for complex testing issues and provide guidance to resolve control gaps or weaknesses.
• Communicate testing results, trends, and recommendations to senior and executive management, support remediation planning and issue validation.
• Foster collaboration with compliance subject matter experts (SMEs) and other internal partners to ensure alignment and consistency across compliance programs.
• Drive strategic initiatives to strengthen the compliance testing program and support enterprise-wide compliance objectives.
• Maintain and enhance team capabilities through training, mentoring, and promoting best practices.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Number of Employees: 5,001-10,000 employees