AVP - Investment Product Compliance Officer

LPL Financial•Fort Mill, SC

4d•$104,957 - $174,997

About The Position

The AVP, Investment Product Compliance role will play a key role in overseeing compliance risks associated with investment products offered across LPL Financial's brokerage and advisory platforms. This highly collaborative role provides strategic compliance guidance to business leaders, supports responsible product growth, and helps strengthen the firm’s product governance, risk assessment, and control frameworks.

Requirements

Bachelor’s degree required
8+ years of relevant experience in financial services compliance, legal, risk, or supervision
Strong knowledge of investment products and related regulatory requirements, including sales practice, disclosures, and supervision, and product governance expectations
Excellent written and verbal communication skills, with the ability to translate complex regulatory concepts into practical guidance for business stakeholders and senior leaders
Demonstrated ability to manage multiple priorities, lead projects, influence cross-functional partners, and drive timely execution in a fast-paced environment
Maintain a current understanding of applicable compliance risks, rules, regulations, and industry practices related to investment products offered across brokerage and advisory platforms.
Analyze complex issues, evaluate regulatory and business impacts, and recommend practical solutions that align with the firm’s risk appetite and client-focused obligations.
Build strong relationships with business partners, Compliance, Legal, Risk, and senior stakeholders to provide credible guidance and advance shared objectives.
Demonstrate sound judgment, high ethical standards, accountability, and a commitment to improving processes, controls, and outcomes.

Nice To Haves

Experience supporting a broad range of investment products, including mutual funds, unit investment trusts (UITs), and 529 Plans.
Previous experience with compliance surveillance applications
Experience interacting with regulators
Industry-related experience specific to Wealth Management
Series 7 or other industry-related certifications

Responsibilities

Provide risk-based compliance oversight, business advisory support, and product governance for investment products offered across the firm.
Maintain a comprehensive understanding of compliance risks and controls associated with investment products, including sales practice obligations, disclosure requirements, and product governance expectations.
Identify and document control gaps, assess emerging risks, and support the development and execution of remediation plans.
Provide proactive, risk-based advice to business partners on investment product offerings, initiatives, and regulatory considerations.
Partner with Compliance, Legal, Risk, and business stakeholders to support responsible growth while protecting the firm and its clients.
Develop and maintain policies, procedures, and training programs that support compliance with applicable regulatory obligations.
Engage in regulatory change management activities, including applicability analysis, impact assessments, stakeholder engagement, and execution of required firm changes.
Support the adoption and improvement of controls aligned with regulations, industry best practices, and the firm’s risk profile.
Drive remediation efforts, support regulatory commitments, escalate compliance issues as appropriate, and leverage existing or new technology solutions to fulfill compliance responsibilities.
Maintain a current understanding of regulations governing the firm’s business through ongoing education and industry engagement.
Additional responsibilities or duties may be assigned as needed.