AVP, Sponsor Compliance

LPL Financial•Charlotte, NC

About The Position

The AVP, Sponsor Compliance is responsible for programmatic oversight of the team managing the sponsor reimbursement and gifts & entertainment responsibilities within the broader Governance & Controls team for the LPL Compliance organization. Sponsor Compliance is a key function to ensure regulatory compliance on key value adds the firm provides to our advisors.

Requirements

Bachelor’s degree in a related field; advanced degree a plus
Minimum of 6+ years relevant experience
Problem solving skills that enable efficient identification of issues; structuring and execution of analysis, development of actionable recommendations, and implement of those recommendations.
Excellent verbal and written communication skills with experience in writing reports or presenting to senior management
Strong analytical skills with high attention to detail and accuracy

Nice To Haves

Securities registration preferred

Responsibilities

Directly manage the Sponsor Compliance team responsible for processing requests in MyComplianceOffice (MCO), including performance coaching and development and oversight of work product
Proactively manage volume for the team, anticipating downstream impacts to sponsors and client compensation
Set measurable team goals to foster operational excellence
Manage team escalations
Identify escalation issues (workflow and backlog), including root cause analysis to mitigate future impacts
Provide strategic recommendations to the Vice President to refine and enhance the operating model of the team, creating a more streamlined experience across supporting partners
Drive strategic problem-solving efforts for the team to deliver solutions that balance the requirements of the firm and the business needs of our advisors
Identify and establish controls, documenting to ensure adherence to established processes and procedures, updating to ensure controls reflect changes resulting from process improvements and/or policy changes
Resolve key friction points the team encounters through collaboration across teams and creative problem solving while ensuring visibility and oversight by the Vice President