AVP, Conflicts & Disclosures

LPL Financial•Charlotte, NC

40d•$104,983 - $174,971

About The Position

Lead with Purpose, Unlock Your Team’s Passion At LPL, people leaders hold the key to the employee experience — shaping culture, driving performance, and guiding individuals to new heights. Because when that happens, we all win – clients, LPL, and most importantly our, employees. If you're ready to lead with intention and discover what’s possible, LPL Financial invites you to apply today. Job Overview: The AVP, Conflicts & Disclosures within LPL’s Compliance organization will support and help lead the firm’s enterprise‑wide Conflicts of Interest and Disclosures Management programs. This role is responsible for ensuring effective identification, assessment, documentation, governance, and ongoing oversight of conflicts of interest and related disclosures across the organization. This individual will develop and maintain policies and procedures, support training and education efforts, partner with business units to assess conflicts risks, and contribute to a strong and transparent governance framework. Success in this role requires exceptional analytical and communication skills, strong relationship‑building abilities, and the capability to work effectively with senior and executive leadership. The AVP will play a critical role in strengthening the firm’s control environment and supporting a culture of risk awareness, transparency, and ethical decision‑making.

Requirements

Bachelor’s degree in Business, Finance, Law, Risk Management, or a related field.
Industry certifications such as CAMS, CRCM, ICA, Series 7/24, or similar.
5–8+ years of experience in compliance, risk management, legal, internal audit, or similar control‑function roles within financial services.
Demonstrated experience with conflicts of interest programs, disclosures governance, or related regulatory initiatives.
Advanced proficiency with data and reporting tools (e.g., Excel, SharePoint, Tableau, or comparable systems).
Analytical and critical‑thinking abilities with the capability to interpret and apply regulatory expectations.
Written and verbal communication skills, including experience drafting policies, procedures, training, and executive‑level reporting.
Proven ability to influence and collaborate with senior leaders and cross‑functional teams.
Experience supporting regulatory exams, internal audits, or compliance assessments.
Strong organizational skills with the ability to manage multiple priorities and deliver results under tight timelines.
Understanding of broker‑dealer and/or investment advisory regulatory frameworks, particularly those involving conflicts and disclosures.

Responsibilities

Lead and enhance the firm’s Conflicts of Interest and Disclosures Management programs, supporting consistent governance and documentation firmwide.
Identify, assess, and maintain an enterprise inventory of conflicts of interest and related disclosures in partnership with business units and risk stakeholders.
Develop, implement, and maintain policies, procedures, and governance frameworks aligned with regulatory expectations and industry best practices.
Design and deliver targeted training and educational materials to increase awareness of conflict-related and disclosure‑related requirements.
Partner with senior and executive leaders to provide guidance, insights, and recommendations regarding potential conflicts or disclosure risks.
Support regulatory examinations, internal audits, and compliance reviews by coordinating responses, preparing documentation, and supporting remediation activities.
Collaborate with cross‑functional teams to ensure conflicts and disclosures processes align with business operations and risk management practices.
Monitor industry developments, regulatory changes, and firm‑level initiatives to proactively assess their impact on conflicts and disclosures governance.
Develop and deliver high‑quality reporting, dashboards, and metrics for governance committees and management.
Promote a strong ethical culture by advising business partners on conflicts mitigation, transparency, and effective controls.
Contribute to the enhancement of systems and tools used to document, track, and manage conflicts and disclosures.