LPL Financial · 8 hours ago
AVP, Governance and Controls - Compliance Education
Fort Mill, SC
Full-time
Onsite
Mid, Senior Level
$107K/yr - $178K/yr
5+ years expLPL Financial is a leading wealth management firm empowering professionals to shape their success while helping clients pursue financial goals. The AVP, Governance and Controls role is responsible for overseeing training and education programs for compliance staff, ensuring adherence to regulatory requirements, and enhancing compliance controls through effective management of training processes.
FinanceFinancial Services
Responsibilities
Oversee and coordinate compliance staff training and education initiatives
Ensure timely completion and accuracy of annual compliance questionnaires
Streamline and manage firm element training processes for registered representatives
Strengthen compliance controls and enforce consequence management for non-compliance
Develop and maintain Tableau dashboards for comprehensive compliance reporting
Customize reporting solutions for various stakeholders
Condense and improve annual compliance questionnaires for associated persons
Qualification
Required
Bachelor's degree
Minimum of 5+ years industry-related experience
Ability to successfully exhibit governance standards for senior leadership
Effective communication including excellent executive level written and oral communication skills
Subject Matter Expertise: Maintain a thorough and up-to-date understanding of all relevant compliance risks, rules, and regulations
Critical thinking and problem solving, need to be able to recognize and evaluate problems and identify solutions
High ethical standards: maintain high ethical standards while executing responsibilities of the role
Strong time management, organizational and project management skills, including the ability to handle multiple projects and manage deadlines in a fast-paced and demanding work environment
Should have good interpersonal skills and ability to interact with members of senior management as well as adaptability and willingness to take on a wide variety of new tasks
Preferred
Series 7
Benefits
401K matching
Health benefits
Employee stock options
Paid time off
Volunteer time off
Company
LPL Financial
LPL Financial provides investment solutions and tools for independent financial advisors.
5001-10000 employees
H1B Sponsorship
LPL Financial has a track record of offering H1B sponsorships. Please note that this does not
guarantee sponsorship for this specific role. Below presents additional info for your
reference. (Data Powered by US Department of Labor)
Distribution of Different Job Fields Receiving Sponsorship
Represents job field similar to this job
Trends of Total Sponsorships
2025 (106)
2024 (105)
2023 (122)
2022 (127)
2021 (65)
2020 (44)
Funding
Current Stage
Public CompanyTotal Funding
$2.5B2025-03-31Post Ipo Equity· $1.5B
2024-06-03Post Ipo Debt· $1B
2010-11-18IPO
Leadership Team
Rich Steinmeier
Interim CEO
Sid Vyas
Chief Technology Officer/EVP
Recent News
2026-01-13
2026-01-12
Company data provided by crunchbase