Are you a team player? Are you curious to learn? Are you interested in working in meaningful projects? Do you want to work with cutting-edge technology? Are you interested in being part of a team that is working to transform and do things differently? If so, LPL Financial is the place for you!

Excited to learn more? If so, then this could be the role for you!

LPL Financial (Nasdaq: LPLA) was founded on the principle that the firm should work for the advisor, and not the other way around. Today, LPL is a leader* in the markets we serve, supporting more than 18,000 financial advisors, 800 institution-based investment programs and 450 independent RIA firms nationwide. We are steadfast in our commitment to the advisor-centered model and the belief that Americans deserve access to personalized guidance from a financial advisor. At LPL, independence means that advisors have the freedom they deserve to choose the business model, services, and technology resources that allow them to run their perfect practice. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors, so they can take care of their clients.

Job Overview:

We are currently looking to hire an AVP - Compliance Monitoring and Analytics Product Management within the Compliance Monitoring and Analytics (CMA) department. This AVP position will be responsible for managing and analyzing data sets from numerous applications and systems in order to support the Supervision and Surveillance controls journey, with a focus on regulatory and scale deliverables. The role will also be responsible for ongoing monitoring of processes and workflows with the goal of identifying opportunities to gain efficiency and support risk mitigation. The AVP will work with all levels of staff within various business units of LPL Financial.

Responsibilities:

• Partner with Supervision, Surveillance, and other Compliance areas to develop and refine requirements for various initiatives. Review and analyze system specifications to determine whether all required elements have been included in the product/project design.
• Develop and manage UAT test plans for various initiatives. Coordinate and assist in the execution of UAT scripts. Organize meetings and support training efforts to ensure effectiveness of UAT initiatives.
• Conduct ad-hoc analyses as appropriate to support priority business projects.
• Partner with the Technology team to champion and drive the design, development, and deployment of automated Supervision and Surveillance reports.
• Improve the overall effectiveness of the Supervision and Surveillance reports/scenarios.
• Lead efforts to detect unexplained trends, spikes, drops in any Surveillance reports.
• Help to implement remediation and program transformation strategies.
• Create and manage reports and dashboards with tools such as Tableau and Python. This will require creating complex query logic to merge multiple sets of segregated data.
• Integrate data from various platforms into a consolidated reporting structure.
• Analyze data and develop strategies to reduce risk and improve business results.
• Research, analyze, and recommend data solutions to meet business needs.
• Identify and manage data issues, risks, and opportunities to improve reporting capabilities.
• Liaise with the Technology department to support the Agile-oriented CLR solutions lifecycle.

What are we looking for?

We want strong collaborators who can deliver a world-class client experience. We are looking for people who thrive in a fast-paced environment, are client-focused, team oriented, and are able to execute in a way that encourages creativity and continuous improvement.

Requirements:

• Bachelor’s Degree from four-year College or university; preferably in MIS/Computer Science, Mathematics, Statistics, Economics, or Finance, or equivalent work experience.
• A minimum of 5 years related work experience.
• Experience with Supervision and Surveillance applications like Mantas (OFSAA), and Actimize.

• Advanced knowledge of data management, query tools, and reporting like Tableau, Python
• Experience in SQL and other scripting language, Data Analysis, Data Processing, and Data Warehousing

Preferences:

• General awareness of SEC, FINRA, and MSRB rules and concepts.
• Knowledge of Compliance and Risk functions within a Broker/Dealer and Investment Advisory organization.
• SAFe Product Owner_Manager Certification a plus

Pay Range:

Why LPL?

At LPL, we believe that objective financial guidance is a fundamental need for everyone. As the nation’s leading independent broker-dealer, we offer an integrated platform of proprietary technology, brokerage, and investment advisor services. We provide you with a work environment that encourages your creativity and growth, a leadership team that is supportive and responsive, and the opportunity to create a career that has no limits, only amazing potential.

We are one team on one mission. We take care of our advisors, so they can take care of their clients.

Because our company is not too big and not too small, you can seize the opportunity to make a real impact. We are committed to supporting workplace equality, and we embrace the different perspectives and backgrounds of our employees. We also care for our communities, and we encourage our employees to do the same. This creates an environment in which you can do your best work.

Want to hear from our employees on what it’s like to work at LPL? Watch this!

We take social responsibility seriously. Learn more here

Want to see info on our benefits? 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 (800) 877-7210.