VP, Govn, Risk & Compliance

LPL Financial•Fort Mill, SC

About The Position

The Vice President of E-Communications Compliance is a senior leader responsible for the strategic direction, governance, and execution of second-line oversight for all electronic communications technologies across the firm. This leader drives enterprise-wide compliance with regulatory requirements while enabling innovation in digital communication tools. The VP will lead a high-performing organization overseeing controls, risk identification, and regulatory adherence across all e-communications channels. This includes influencing enterprise technology strategy, advising executive stakeholders, and ensuring scalable, forward-looking compliance frameworks. This role requires exceptional leadership, executive presence, deep regulatory expertise, and the ability to partner across business, technology, legal, and risk functions to balance innovation with effective risk management.

Requirements

Bachelor’s degree in Business, Finance, Technology, or related field
10+ years of experience in financial services, compliance, legal, or risk management
5+ years of leadership experience with increasing scope, including managing managers and large teams
Deep expertise in electronic communications regulations, including SEC, FINRA, and state requirements
Proven experience leading enterprise-level programs and complex regulatory initiatives
Experience partnering with technology organizations on digital platforms and compliance controls
Executive presence and strong influencing skills
Strategic thinking with ability to translate into execution
Deep regulatory and risk management expertise
Exceptional communication and stakeholder management
Strong analytical mindset with a focus on solutions and innovation
Ability to lead through change and drive transformation

Nice To Haves

FINRA Series 7 and 24 strongly preferred

Responsibilities

Define and execute the enterprise strategy for E-Communications Compliance aligned with regulatory expectations and LPL’s digital transformation roadmap
Establish and maintain a robust second-line risk and controls framework governing all electronic communications platforms
Serve as a trusted advisor to senior executives on regulatory risk, emerging trends, and compliance strategy
Drive continuous improvement and innovation in surveillance, monitoring, and control effectiveness
Lead, develop, and scale a team of managers, analysts, and senior professionals, fostering a culture of accountability, collaboration, and excellence
Provide vision, coaching, and performance management aligned to business goals and talent development
Build organizational capability to support evolving digital communication technologies and regulatory expectations
Oversee compliance of all electronic communication channels including email, text messaging, chat, social media, marketing platforms, scheduling tools, and client portals
Ensure adherence to SEC, FINRA, state regulations, and internal policies
Proactively identify, escalate, and resolve compliance risks, control gaps, and emerging regulatory requirements
Lead regulatory engagement and support audits, exams, and inquiries related to E-Communications
Partner with Technology, Product, Legal, Supervision, and Business Leaders to ensure compliant design and deployment of digital communication tools
Influence enterprise initiatives involving advisor technology, digital engagement, and automation
Act as escalation point for complex compliance issues and ensure timely resolution
Drive the implementation of scalable systems, tools, and automation to enhance monitoring and compliance effectiveness
Champion data-driven decision-making and advanced analytics within compliance processes
Lead large-scale, complex initiatives and transformation programs impacting firm-wide communications oversight