AVP Trading & Operations Compliance

LPL Financial   •  

San Diego, CA

Industry: Financial Services


5 - 7 years

Posted 296 days ago

This job is no longer available.

The Trading & Operations Compliance Assistant Vice President will collaborate with otherinternal areas including trading, operations, and legal to monitor and address compliance practices and issues related to trading and operations. 

Essential Functions:

  • •Develop, review and implement desktop policies and procedures
  • •Conduct compliance monitoring and testing of controls in trading and operations
  • •Provide guidance on rules and regulations relating to trading and operational issues, as well as, provide compliance approvals and interpretation of internal compliance policies. Proactively assist in interpreting regulatory releases and guidance
  • •Support the business in performing timely compliance reviews of new processes pertaining to trading and operations
  • •Assist in the development and administration of compliance training and educational material for trading and/or operations
  • •Research new rules/rule changes and implement policies, procedures or other controls necessary to comply with the rules.
  • •Serve as liaison between compliance and the trading desks, operations and other areas
  • •Assist in regulatory inquiries and/or examinations
  • •Coordinate with Internal Audit and Risk Management
  • •Maintain subject matter expertise through on-going education and training activities


  • •Bachelor’s degree in a related field of study; advanced degree a plus
  • •FINRA series 7 and 24 preferred
  • •7+ years’ experience in compliance
  • •Significant Compliance experience with respect to trading and/or operations
  • •Strong knowledge of FINRA, MSRB and SEC rules
  • •BETA knowledge a plus
  • •Knowledge of Archer and other compliance tools a plus
  • •Strong communication skills, both written and verbal
  • •Must be a self-starter, enjoy working in a fast paced environment and be comfortable communicating with all levels of management


  • •Fort Mill, SC or San Diego, CA

Job ID: R-001981.