VP, Govn, Risk & Compliance
About The Position
The Marketing and Electronic Communication Compliance Officer must have a strong understanding of marketing practices and operations, brand management practices and advertising and promotional regulations, including Truth in Advertising laws, UDAP/UDAAP (Unfair, Deceptive, or Abusive Acts or Practices), the CAN-SPAM Act, TCPA, and applicable state marketing compliance requirements, and be able to translate these rules into actionable guidelines for transparent, consistent, and compliant communications across all channels. They should also be familiar with guidelines governing digital marketing (including 1:1 data driven marketing), social media campaigns, email communications, SMS, and print advertising to ensure all materials are accurate, transparent, and compliant. The role also reviews and monitors marketing guidelines and policies to ensure effective management of reputational risk while producing strong, effective and differentiating marketing and communications to deliver business results. In addition to reviewing and approving marketing content, the role is responsible for ensuring all marketing materials and activities meet regulatory and internal risk standards by reviewing content, developing policies, training teams, monitoring campaigns, and conducting risk assessments. Knowledge of disclosure requirements, fair lending advertising standards, and brand representation rules is essential to mitigate reputational and regulatory risk. Success in this role also requires effective communication and collaboration between departments to support consistent compliance practices and build member trust through clear, ethical, and responsible marketing. Review marketing materials, due diligence responses, investor communications, and other fundraising and reporting-related materials (e.g. quarterly letters, recordings, memoranda, etc.) across various investment strategies from a legal, regulatory, and compliance perspective.
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 FINRA 2210: Communications with the public regulations, including SEC 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 marketing and electronic communications platforms
- Serve as a trusted advisor to senior executives on regulatory risk, emerging trends, and compliance strategy
- 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 marketing and 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
Benefits
- 401K matching
- health benefits
- employee stock options
- paid time off
- volunteer time off
Stand Out From the Crowd
Upload your resume and get instant feedback on how well it matches this job.
What This Job Offers
Job Type
Full-time
Career Level
Executive
