AVP, Supervisory Controls Governance

🕒 Junho 11

🌲 North Carolina – Remoto

🌲 North Carolina – Remote

💵 $104.648 - $174.482 / ano

⏰ Tempo Integral

🔴 Especialista

🎲 Riscos

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LPL Financial

SiteLinkedInTodas as Vagas

5001 - 10000 funcionários

Fundada em LPL Financial

💸 Finanças

💳 Fintech

Finance • Fintech

A LPL Financial é uma provedora líder de serviços de gestão de patrimônio, apoiando profissionais financeiros, instituições e investidores individuais. Com uma suíte abrangente de ferramentas e recursos, a LPL Financial permite que consultores construam seus negócios e ofereçam conselhos financeiros personalizados. Eles oferecem uma plataforma de gestão de patrimônio, serviços de consultoria, integração tecnológica, pesquisa de investimentos e suporte para crescimento orgânico e inorgânico para empresas e consultores. A LPL Financial também foca em investimentos sustentáveis e responsabilidade social, mantendo uma supervisão regulatória robusta.

Descrição

• 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

🎯 Requisitos

• 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

🏖️ Benefícios

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