Mgr, Compliance

LPL Financial   •  

San Diego, CA

Industry: Financial Services


8 - 10 years

Posted 299 days ago

This job is no longer available.

LPL Financial is currently looking for a Manager, Advisory Compliance within the Governance, Risk, and Compliance (GRC) business unit. The Manager, Advisory Compliance will report to the Assistant Vice President, Advisory Compliance and will primarily be responsible for the coordination and execution of a compliance oversight program for the LPL Financial corporate investment adviser.

The Manager, Advisory Compliance oversees a team responsible for several functions within Advisory Compliance, primarily including oversight of the Third-Party Asset Management Program and Investment Advisers Act ‘40 Code of Ethics.

Essential Functions:
• Responsible for end-to-end compliance oversight of the Third-Party Asset Management Program (TAMP)
• Manage day to day processing of key regulatory compliance functions for oversight of the Investment Advisers Act ’40 Code Of Ethics, Pay to Play, and ADV 2B policies and procedures
• Create, maintain, and enhance firm policies & procedures; including Investment Advisory compliance manual and desktop procedures
• Lead special projects and initiatives based on department priorities
• Create metrics to report trends and patterns
• Stay current with relevant investment advisory rules and regulations including best practices
• Perform other duties as assigned
• Bachelor’s degree required; Master’s or Law degree a plus
• Series 7 and 65/66 preferred, Series 24 and industry certifications a plus
• 7+ years of experience in the financial services industry, ideally focused on Investment Advisory
• Working knowledge of the Investment Advisers Act of 1940 and applicable regulations
• Strong project management skills, including the ability to prioritize and meet deadlines
• Demonstrated experience working with and/or supporting financial advisors (IARs)
• Excellent written, verbal, and interpersonal skills
• Attention to detail with the pursuit of perfection
• Disciplined, well organized, but also flexible leader
• Ability to work in a fast-paced and changing environment
• Innate ability to build strong relationships
• Skilled in Microsoft Office products, including Excel and PowerPoint

Our Company:

LPL Financial, the nation’s largest independent broker/dealer since 1996* and the fourth largest broker/dealer overall, serves as an enabling partner to more than 14,000 independent financial advisors and approximately 700 financial institutions. Since its formation decades ago, LPL has focused on one primary mission -- enabling independent financial advisors to bring objective and un-biased financial advice to millions of Americans.

Job ID: R-001039.