AVP, Governance and Controls

LPL Financial • Charlotte, NC

1d

About The Position

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. Key responsibilities include establishing and maintaining a Tableau reporting dashboard for year-end compliance obligations, enabling customized reporting views for both internal and external stakeholders. The manager also streamlines and condenses the annual compliance questionnaire for associated persons, enhancing efficiency and improving data quality.

Requirements

• Bachelor’s degree
• Minimum of 5+ years industry-related experience
• Ability to successfully exhibit governance standards for senior leadership.
• Effective communication including excellent executive level written and oral communication skills
• Maintain a thorough and up-to-date understanding of all relevant compliance risks, rules, and regulations
• Critical thinking and problem solving, need to be able to recognize and evaluate problems and identify solutions
• High ethical standards: maintain high ethical standards while executing responsibilities of the role
• Strong time management, organizational and project management skills, including the ability to handle multiple projects and manage deadlines in a fast-paced and demanding work environment
• Should have good interpersonal skills and ability to interact with members of senior management as well as adaptability and willingness to take on a wide variety of new tasks

Nice To Haves

• Series 7

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

Benefits

• 401K matching
• health benefits
• employee stock options
• paid time off
• volunteer time off

What This Job Offers

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