AVP, Compliance Testing

Overview What if you could build a career where ambition meets innovation? At LPL Financial, we empower professionals to shape their success while helping clients pursue their financial goals with confidence. If you're ready to take the next step, discover what’s possible with LPL Financial. Job Overview LPL 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. The AVP will provide leadership, guidance, and oversight to the Compliance Testing team, ensuring adherence to regulatory obligations and internal standards while driving continuous improvement in testing methodologies. 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. 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 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. Preferences 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. Pay Range $104,983-$174,971/year 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, 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 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 Join LPL Financial: Where Your Potential Meets Opportunity 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. Limitless Career Potential: Your career at LPL has no limits, only amazing potential. Unified Mission: We are one team on one mission—taking care of our advisors so they can take care of their clients. Impactful Work: Our size is just right for you to make a real impact. Commitment to Equality: We support workplace equality and embrace diverse perspectives and backgrounds. Community Focus: We care for our communities and encourage our employees to do the same. 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. 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 . EAC12.9.25 #J-18808-Ljbffr