AVP, Supervisory Controls Governance

🔥 0 minutes ago

🌲 North Carolina – Remote

🌲 North Carolina – Remote

💵 $104.6k - $174.5k / year

⏰ Full Time

🔴 Lead

🎲 Risk

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LPL Financial

WebsiteLinkedInAll Job Openings

5001 - 10000 employees

Founded LPL Financial

💸 Finance

💳 Fintech

Finance • Fintech

LPL Financial is a leading provider of wealth management services, supporting financial professionals, institutions, and individual investors. With a comprehensive suite of tools and resources, LPL Financial enables advisors to build their businesses and provide personalized financial advice. They offer a wealth management platform, consulting services, technology integration, investment research, and support for both organic and inorganic growth for businesses and advisors. LPL Financial also focuses on sustainable investing and social responsibility while maintaining robust regulatory oversight.

📋 Description

• 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

🎯 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