Shape the Future of Compliance and Privacy at LPLThis is an opportunity to lead the firm's enterprise Compliance and Privacy programs at one of the nation's leading wealth management firms, in an environment undergoing significant transformation.
LPL is using AI, data, and technology to transform how work gets done, while continually advancing new products, platforms, capabilities, and services for our advisors and their clients. The
Executive Vice President, Chief Compliance Officer will play a critical role in enabling that progress responsibly. The role will establish the strategic direction for LPL's Compliance program, strengthen risk-based oversight, and serve as a trusted advisor to senior leaders, business partners, regulators, and governance bodies. Success requires balancing strong regulatory and privacy standards with the speed, innovation, and thoughtful risk-taking necessary to continue advancing the firm.
The EVP, Chief Compliance Officer leads a large, multidisciplinary organization and is accountable for the design, execution, and continuous improvement of LPL's enterprise Compliance and Privacy programs across its broker-dealer and registered investment adviser businesses.
The role oversees policy management; anti-money laundering and fraud; compliance education; regulatory change management; investment adviser compliance; branch examinations; compliance advice and guidance; senior investor protection; electronic communications; i; compliance testing; privacy governance and regulatory compliance; and related governance activities.
Importantly, the CCO works alongside business, technology, product, legal, risk, and other leaders to embed compliance and privacy into the design of new products, services, AI-enabled capabilities, and business processes from the outset, helping LPL innovate and move quickly while maintaining strong standards for regulatory compliance, privacy, and client protection.
Responsibilities:- Set and execute the enterprise Compliance strategy, aligning regulatory obligations, privacy requirements, risk appetite, business priorities, advisor needs, and client outcomes.
- Own the design, maintenance, and effectiveness of LPL's Compliance and Privacy programs, including policies, procedures, controls, monitoring, surveillance, testing, issue management, regulatory change management, and governance.
- Lead the firm's Privacy program, establishing the governance, policies, oversight, monitoring, and accountability necessary to protect personal information and meet applicable privacy requirements as the firm's use of data and technology evolves.
- Provide compliance oversight for LPL's broker-dealer, registered investment adviser firms, advisors, sales practices, branch activity, products, communications, and marketing materials.
- Enable responsible innovation by ensuring Compliance and Privacy are engaged early in the development of new products, services, technology, data uses, and AI-enabled capabilities, identifying risks and practical solutions before they become barriers to execution.
- Partner with Technology, Product, Legal, Risk, Operations, and business leaders as LPL expands the use of AI, automation, and data, establishing clear guardrails that support innovation while appropriately managing regulatory, privacy, and client risks.
- Build a forward-looking compliance model that anticipates regulatory and technological change rather than reacting to it, using data, technology, automation, and AI where appropriate to strengthen monitoring, improve insights, and increase the effectiveness and scalability of oversight.
- Lead, develop, and retain a large, multidisciplinary organization; establish clear accountability, succession plans, operating rhythms, performance expectations, and a culture of high standards and continuous improvement.
- Participate in responses to regulatory examinations, inquiries, investigations, and remediation commitments; maintain direct, credible relationships with the SEC, FINRA, state regulators, and other authorities.
- Design and direct supervisory control and compliance testing programs, including work supporting FINRA Rules 3120 and 3130, and report material gaps, trends, emerging risks, and corrective actions to senior management and appropriate governance bodies.
- Establish and oversee the firm's framework for identifying, assessing, disclosing, mitigating, and monitoring conflicts of interest.
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:- 15+ years of progressive compliance, regulatory, legal, risk, or related financial services experience, including significant leadership experience within a large, complex, highly regulated financial institution.
- 10+ years leading senior-level compliance functions or teams, with a demonstrated ability to inspire, develop, and retain high-performing teams and leaders
- Deep broker-dealer and registered investment adviser expertise, with strong knowledge of applicable SEC and FINRA rules and regulatory expectations, including supervisory controls, sales practices, conflicts of interest, communications, branch oversight, testing, surveillance, and investment adviser compliance.
- Demonstrated experience serving as, or operating at the level of, a Chief Compliance Officer or senior deputy CCO for a large broker-dealer, RIA, wealth management, asset management, banking, or similarly complex financial services organization.
- Proven ability to design, operate, and continuously enhance enterprise compliance programs, including policies and procedures, monitoring and surveillance, testing, regulatory change management, issue management, governance, and reporting.
Preferences:- Experience leading or providing executive oversight of an enterprise Privacy program, including privacy governance, data-use considerations, regulatory compliance, monitoring, and accountability.
- Experience overseeing or partnering closely with AML, fraud, financial crimes, electronic communications, surveillance, branch examinations, senior investor protection, and conflicts-of-interest programs.
- Experience developing a technology-enabled compliance operating model, including the use of data analytics, automation, machine learning, or AI to improve monitoring, surveillance, testing, risk identification, and management information.
- Demonstrated experience overseeing transformational change involving compliance operating models, technology modernization, organizational redesign, or regulatory remediation.
- Demonstrated ability to advise Boards, executive leadership, and senior management on material compliance issues, emerging risks, regulatory developments, and the effectiveness of the firm's compliance framework.
- Juris Doctor, MBA, or other relevant advanced degree preferred.
- Relevant professional certifications such as FINRA Series 7 and 24, or ability to obtain required registrations following appointment, depending on the specific regulatory responsibilities associated with the position.
Pay Range: 300,000-500,000/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!
