LPL Financial logo
LPL Financial

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

AVP, Supervisory Controls Governance

RiskRiskFull TimeRemoteLeadTeam 5,001-10,000Since LPL FinancialH1B SponsorCompany SiteLinkedIn

Location

North Carolina

Posted

8 days ago

Salary

$104.6K - $174.5K / year

Seniority

Lead

Bachelor Degree7 yrs expExperience acceptedEnglish

Job Description

AVP, Supervisory Controls Governance

LPL Financial

• own and maintain the supervisory controls framework, including inventories of control ownership, Written Supervisory Procedures (WSPs), user guides, supporting procedures, and related documentation • establish and execute routines to ensure documents are reviewed, updated, approved, and communicated as processes, controls, or regulatory expectations change • drive change management activities tied to process, policy, system, and procedural updates • represent Supervision on control, governance, and change-related committees; prepare materials, communicate key decisions and action items • produce regular reporting and leadership readouts on control framework health, documentation status, change activity, audit and testing readiness, open issues, and management action plan progress • own the audit and compliance testing calendar and lead readiness routines in advance of planned events • partner with business line leaders before, during, and after audits and testing engagements to assess readiness • support the development of practical, well-scoped management action plans and oversee ongoing tracking, monitoring, and reporting through closure • maintain risk and control inventory records • identify control gaps, documentation inconsistencies, or governance weaknesses and recommend pragmatic improvements to strengthen the overall supervisory control environment • lead, coach, and develop direct reports, establish priorities across the team, and create a disciplined operating cadence for recurring governance and readiness activities

Job Requirements

  • 7+ years of experience in financial services
  • experience in supervision, compliance, risk, controls governance, internal audit, operational risk, or a related discipline
  • experience maintaining or enhancing a control framework, governance program, or documentation environment in a highly regulated setting
  • experience supporting internal audits, compliance testing, regulatory exams, or similar review activities, including issue management and remediation tracking
  • experience creating executive-ready reporting, dashboards, presentations, and governance materials
  • ability to assess findings, distinguish root-cause issues from isolated observations, and help design practical, executable remediation plans
  • prior people leadership experience or clear evidence of team leadership and work coordination in a matrixed environment
  • FINRA Series 7, 63 & 65 or 66, & 24

Benefits

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

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