Where Ambition Meets Innovation
Build a career that matches all your initiative with an impressive dose of innovation. From cutting-edge resources and a collaborative environment to the freedom to make an impact and more, you’ll find the ingredients you need at LPL Financial to shape your success while helping clients pursue their financial goals.
Job Overview:
The Assistant Vice President, Committee Governance role will be part of the LPL Program Compliance team and will serve as the secretary of the Regulatory Compliance Risk Committee (RCRC) and New Offerings Risk Committee (NORC). This individual will leverage compliance and risk expertise to lead in the planning and execution of a comprehensive roadmap to transform product risk. The ideal candidate will have a demonstrated track record of influencing senior and executive leadership, deep knowledge and passion for investment products, and strong interpersonal skills to engage across stakeholder groups and lead key product strategic initiatives.
We are looking for candidates who are adept at working with large data sets, finding insights, making presentations that tell stories from data insights, and creating committee accountability reports. The AVP role will also be responsible for coordinating a cross-organizational product risk transformation effort, working closely with leaders from across the organization, driving towards a common goal.
In this role you will support the Program Compliance department in a variety of ways including managing the “business as usual” (BAU) operating routines for the RCRC and NORC, including assisting in strategy formulation and prepping committee materials, researching and resolving department-level issues, and owning program/project management responsibilities for key initiatives. This role requires close collaboration with key cross functional partners across the firm.
Roles & Responsibilities:
Project Planning & Execution:
Data Analytics & Reporting:
Process Improvement & Optimization:
What we’re looking for?
We’re looking for strong collaborators who deliver exceptional client experiences and thrive in fast-paced, team-oriented environments. Our ideal candidates pursue greatness, act with integrity, and are driven to help our clients succeed. We value those who embrace creativity, continuous improvement, and contribute to a culture where we win together and create and share joy in our work.
Requirements:
Core Competencies:
Strategic thinker who can take broad visions and concepts and develop structured plans, actions, and measurable metrics and then drive cross-functional execution of those plans
Excellent communication skills, with the ability to partner effectively with various levels within the organization and influence key decisions
Ability to build presentations that convey a clear story supported by data findings
Comfortable in ambiguous situations – self-starter and self-learner
Multi-tasking skills with the ability to manage complex deliverables and meet strict deadlines
Must be able to work both autonomously and in highly collaborative ways
Excellent written and verbal communication skills
Teamwork orientation and a learn & grow attitude
Preferences:
Pay Range:
$104,957.00 - $174,997.00
Actual base salary varies based on factors, including but not limited to, relevant skill, prior experience, education, base salary of internal peers, demonstrated performance, and geographic location. Additionally, LPL Total Rewards package is highly competitive, designed to support your success at work, at home, and at play – such as 401K matching, health benefits, employee stock options, paid time off, volunteer time off, and more. Your recruiter will be happy to discuss all that LPL has to offer!
Company Overview:
LPL Financial Holdings Inc. (Nasdaq: LPLA) is among the fastest growing wealth management firms in the U.S. As a leader in the financial advisor-mediated marketplace(6) , LPL supports over 32,000 financial advisors and the wealth management practices of approximately 1,100 financial institutions, servicing and custodying approximately $2.3 trillion in brokerage and advisory assets on behalf of approximately 8 million Americans. The firm provides a wide range of advisor affiliation models, investment solutions, fintech tools and practice management services, ensuring that advisors and institutions have the flexibility to choose the business model, services, and technology resources they need to run thriving businesses. For further information about LPL, please visit www.lpl.com.
At LPL, independence means that advisors and institution leaders have the freedom they deserve to choose the business model, services, and technology resources that allow them to run a thriving business. They have the flexibility to do business their way. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors and institutions, so they can take care of their clients.
For further information about LPL, please visit www.lpl.com.
Join LPL Financial: Where Your Potential Meets Opportunity
At LPL Financial, we believe that everyone deserves objective financial guidance. As the nation’s leading independent broker-dealer, we offer an integrated platform of cutting-edge technology, brokerage, and investment advisor services.
Why LPL?
Innovative Environment: We foster creativity and growth, providing a supportive and responsive leadership team. Learn more about our leadership team here!
Limitless Career Potential: Your career at LPL has no limits, only amazing potential. Learn more about our careers here!
Unified Mission: We are one team on one mission—taking care of our advisors so they can take care of their clients. Learn more about our mission and values here!
Impactful Work: Our size is just right for you to make a real impact. Learn more here!
Commitment to Equality: We support workplace equality and embrace diverse perspectives and backgrounds. Learn more here!
Community Focus: We care for our communities and encourage our employees to do the same. Learn more here!
Benefits and Total Rewards: Our Total Rewards package goes beyond just compensation and insurance. It includes a mix of traditional and unique benefits, perks, and resources designed to enhance your life both at work and at home. Learn more here!
Join the LPL team and help us make a difference by turning life’s aspirations into financial realities. Please log in or create an account to apply to this position. Principals only. EOE.
Information on Interviews:
LPL will only communicate with a job applicant directly from an @lplfinancial.com email address and will never conduct an interview online or in a chatroom forum. During an interview, LPL will not request any form of payment from the applicant, or information regarding an applicant’s bank or credit card. Should you have any questions regarding the application process, please contact LPL’s Human Resources Solutions Center at (855) 575-6947.
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