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LPL Financial logo
LPL Financial

We take care of our advisors, so they can take care of their clients.

AVP, Control Initiative Execution – Delivery

Vice PresidentVice PresidentFull TimeRemoteLeadTeam 5,001-10,000Since LPL FinancialH1B SponsorCompany SiteLinkedIn

Location

North Carolina

Posted

30 days ago

Salary

$104.6K - $174.5K / year

Seniority

Lead

Bachelor Degree7 yrs expEnglish

Job Description

AVP, Control Initiative Execution – Delivery

LPL Financial

• Own and manage a portfolio of control-related initiatives from assessment and planning through execution, implementation, and follow-through. • Develop a working understanding of a variety of supervisory control areas and quickly get up to speed on the business processes, systems, stakeholders, and risks associated with each initiative. • Review available data, reporting, insights, documentation, and feedback to understand how a control area is performing today and where opportunities exist to strengthen effectiveness, efficiency, and user experience. • Conduct interviews and working sessions with impacted staff, leaders, and partners to assess current-state execution, pain points, strengths, weaknesses, and practical improvement opportunities. • Help define and propose future-state processes, workflows, or operating approaches that better meet business, control, and experience needs. • Translate initiative scope into clear roadmaps, milestone plans, deliverables, dependencies, owners, and timelines, and maintain accountability against those commitments. • Execute within a defined delivery framework to ensure progress is consistently documented, tracked, escalated appropriately, and communicated to key stakeholders. • Provide regular updates on initiative status, risks, issues, dependencies, decisions, and overall progress to stakeholders and leadership. • Bring the right partners into the work at the right time to gather input, secure buy-in, maintain alignment, and support effective adoption. • Coordinate across impacted groups, including Supervision business line leaders, Product, Technology, Compliance, Risk, operations partners, capacity management, and business readiness teams. • Support initiative activities such as current-state and future-state mapping, requirements gathering, action planning, readiness planning, issue tracking, and implementation coordination. • Maintain strong delivery discipline across meeting notes, action items, decision logs, milestone tracking, status reporting, and documentation of execution progress. • Monitor commitments across all contributors and deliverable owners, helping drive follow-through and accountability beyond directly owned tasks. • Apply judgment and structure to work through ambiguity, competing priorities, and changing business needs while keeping initiatives on track.

Job Requirements

  • 7+ years of experience in financial services, with meaningful experience in Supervision, supervisory controls, compliance, risk, operations, business transformation, project management, program management, or a related discipline.
  • Experience working in or alongside a supervision organization or control environment within a regulated business.
  • Experience owning initiatives or projects from planning through execution, with responsibility for milestones, stakeholders, risks, and deliverables.
  • Ability to analyze data, synthesize insights, assess processes, and translate findings into practical recommendations and execution plans.
  • Experience building project plans, roadmaps, or implementation plans and managing work against committed timelines.
  • Stakeholder management skills, including the ability to coordinate across multiple impacted groups and influence progress without direct authority.
  • Written and verbal communication skills, including the ability to deliver concise status updates and clear documentation.
  • Organization, attention to detail, and execution discipline

Benefits

  • 401K matching
  • health benefits
  • employee stock options
  • paid time off
  • volunteer time off

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