AVP, Supervisory Controls Governance

LPL Financial•Fort Mill, SC

About The Position

The AVP, Supervisory Controls Governance & Change Management will lead the ongoing maintenance and maturation of the Supervisory Controls Management framework across the Supervision organization. This role is responsible for control governance, documentation management, change management coordination, audit and compliance testing readiness, issue management, and risk/control mapping across the organization. This leader will partner closely with Supervision business line leaders, Compliance, Internal Audit, Compliance Testing, and Risk to ensure supervisory controls are clearly documented, appropriately owned, effectively maintained, and supported by strong governance and reporting routines. The role will also represent Supervision in key governance forums, coordinate change impacts, and provide leadership with regular readouts on the health of the control environment. We’re looking for a thoughtful and highly organized leader who can bring structure to a complex control environment and build strong partnerships across Supervision, Compliance, Risk, Internal Audit, and Compliance Testing. The ideal candidate combines sound judgment, strong execution, and a practical understanding of control frameworks, documentation governance, issue management, and regulatory change. This person should be comfortable operating at both a strategic and hands-on level—shaping the program while also ensuring the details are right.

Requirements

7+ years of experience in financial services, with experience in supervision, compliance, risk, controls governance, internal audit, operational risk, or a related discipline.
Experience maintaining or enhancing a control framework, governance program, or documentation environment in a highly regulated setting.
Experience supporting internal audits, compliance testing, regulatory exams, or similar review activities, including issue management and remediation tracking.
Experience creating executive-ready reporting, dashboards, presentations, and governance materials.
Ability to assess findings, distinguish root-cause issues from isolated observations, and help design practical, executable remediation plans.
Prior people leadership experience or clear evidence of team leadership and work coordination in a matrixed environment.
FINRA Series 7, 63 & 65 or 66, & 24

Nice To Haves

Experience in a broker-dealer, wealth management, or other regulated financial services environment
Familiarity with WSPs, enterprise risk systems, and risk/control inventory management
Experience partnering with first-line leaders, Compliance, Risk, and Internal Audit in a three-lines-of-defense model
Experience with governance, issue management, or document management tooling

Responsibilities

Own and maintain the supervisory controls framework, including inventories of control ownership, Written Supervisory Procedures (WSPs), user guides, supporting procedures, and related documentation.
Establish and execute routines to ensure documents are reviewed, updated, approved, and communicated as processes, controls, or regulatory expectations change.
Drive change management activities tied to process, policy, system, and procedural updates, ensuring impacts to controls, documentation, training materials, and governance routines are identified and addressed.
Represent Supervision on control, governance, and change-related committees; prepare materials, communicate key decisions and action items, and cascade relevant updates across the organization.
Produce regular reporting and leadership readouts on control framework health, documentation status, change activity, audit and testing readiness, open issues, and management action plan progress.
Own the audit and compliance testing calendar and lead readiness routines in advance of planned events.
Partner with business line leaders before, during, and after audits and testing engagements to assess readiness, coordinate responses, support walkthroughs and evidence collection, and manage acceptance of findings.
Support the development of practical, well-scoped management action plans and oversee ongoing tracking, monitoring, and reporting through closure.
Maintain risk and control inventory records, including PRC / CSA records, within the centralized risk system, ensuring risks, controls, procedures, and owners are mapped accurately and remain current.
Identify control gaps, documentation inconsistencies, or governance weaknesses and recommend pragmatic improvements to strengthen the overall supervisory control environment.
Lead, coach, and develop direct reports, establish priorities across the team, and create a disciplined operating cadence for recurring governance and readiness activities.