AVP - Investment Product Compliance Officer
LPL Financial · Fort Mill, United States +1 · 1d ago
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Job Overview:
The AVP, Investment Product Compliance role, will play a key role in overseeing compliance risks associated with investment products offered across LPL Financial's brokerage and advisory platforms. This highly collaborative role provides strategic compliance guidance to business leaders, supports responsible product growth, and helps strengthen the firm’s product governance, risk assessment, and control frameworks.
Responsibilities:
The AVP, Investment Product Compliance role is responsible for providing risk-based compliance oversight, business advisory support, and product governance for investment products offered across the firm.
- Product Compliance Oversight & Risk Assessment: Maintain a comprehensive understanding of compliance risks and controls associated with investment products, including sales practice obligations, disclosure requirements, and product governance expectations. Identify and document control gaps, assess emerging risks, and support the development and execution of remediation plans.
- Business Advisory & Strategic Support: Provide proactive, risk-based advice to business partners on investment product offerings, initiatives, and regulatory considerations. Partner with Compliance, Legal, Risk, and business stakeholders to support responsible growth while protecting the firm and its clients.
- Policy, Training & Regulatory Change: Develop and maintain policies, procedures, and training programs that support compliance with applicable regulatory obligations. Engage in regulatory change management activities, including applicability analysis, impact assessments, stakeholder engagement, and execution of required firm changes.
- Controls, Remediation & Technology Enablement: Support the adoption and improvement of controls aligned with regulations, industry best practices, and the firm’s risk profile. Drive remediation efforts, support regulatory commitments, escalate compliance issues as appropriate, and leverage existing or new technology solutions to fulfill compliance responsibilities.
- Regulatory Expertise & Continuous Improvement: Maintain a current understanding of regulations governing the firm’s business through ongoing education and industry engagement. Additional responsibilities or duties may be assigned as needed.
What are we 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:
- Bachelor’s degree required
- 8+ years of relevant experience in financial services compliance, legal, risk, or supervision
- Strong knowledge of investment products and related regulatory requirements, including sales practice, disclosures, and supervision, and product governance expectations
- Excellent written and verbal communication skills, with the ability to translate complex regulatory concepts into practical guidance for business stakeholders and senior leaders
- Demonstrated ability to manage multiple priorities, lead projects, influence cross-functional partners, and drive timely execution in a fast-paced environment
Core Competencies:
- Regulatory and Product Expertise: Maintain a current understanding of applicable compliance risks, rules, regulations, and industry practices related to investment products offered across brokerage and advisory platforms.
- Risk-Based Judgment and Problem Solving: Analyze complex issues, evaluate regulatory and business impacts, and recommend practical solutions that align with the firm’s risk appetite and client-focused obligations.
- Influence and Collaboration: Build strong relationships with business partners, Compliance, Legal, Risk, and senior stakeholders to provide credible guidance and advance shared objectives.
- Leadership, Integrity, and Continuous Improvement: Demonstrate sound judgment, high ethical standards, accountability, and a commitment to improving processes, controls, and outcomes.
Preferences:
- Experience supporting a broad range of investment products, including mutual funds, unit investment trusts (UITs), and 529 Plans.
- Previous experience with compliance surveillance applications
- Experience interacting with regulators
- Industry-related experience specific to Wealth Management
- Series 7 or other industry-related certifications
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Pay Range:
$104,957.00 - $174,997.00Company 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 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.
EAC 5.19.26