LPL Financial · 2 hours ago
AVP, Compliance Testing
Fort Mill/Charlotte
Full-time
Onsite
Mid, Senior Level
$105K/yr - $175K/yr
5+ years expLPL Financial is seeking an experienced and strategic Assistant Vice President (AVP), Compliance Testing to join our Compliance team. This role is responsible for overseeing the execution of compliance testing engagements and ensuring the effectiveness of the firm’s compliance control framework.
FinanceFinancial Services
Responsibilities
Provide oversight and leadership for the Compliance Testing function, ensuring timely and accurate execution of risk-based testing engagements
Develop and enhance the compliance testing methodology to evaluate the design and operating effectiveness of controls against regulatory requirements
Review and approve testing plans, workpapers, and reports to ensure quality and consistency across engagements
Serve as a key point of escalation for complex testing issues and provide guidance to resolve control gaps or weaknesses
Communicate testing results, trends, and recommendations to senior and executive management, support remediation planning and issue validation
Foster collaboration with compliance subject matter experts (SMEs) and other internal partners to ensure alignment and consistency across compliance programs
Drive strategic initiatives to strengthen the compliance testing program and support enterprise-wide compliance objectives
Maintain and enhance team capabilities through training, mentoring, and promoting best practices
Qualification
Required
Bachelor's degree in business, Finance, or a related field
Minimum of 5 years of experience in the financial services industry, with a strong focus on compliance testing and regulatory oversight
In-depth knowledge of broker-dealer and investment advisor regulatory obligations
Proven ability to lead teams and manage multiple priorities effectively
Strong analytical and problem-solving skills with exceptional attention to detail
Excellent communication skills, including experience presenting to senior and executive leadership
Advanced proficiency in Microsoft Excel, Word, PowerPoint, SharePoint, and Smartsheet
Preferred
Experience managing compliance testing programs in large, complex organizations
Familiarity with governance, risk, and compliance (GRC) platforms (e.g., Archer, MetricStream)
Exposure to data visualization tools (e.g., Power BI, Tableau) and process improvement methodologies
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
2026-01-23
2026-01-23
Company data provided by crunchbase