AVP, Committee Governance - Program Compliance

Job Overview The Assistant Vice President, Committee Governance role will be part of the LPL Program Compliance team and serve as the secretary of the Regulatory Compliance Risk Committee (RCRC) and New Offerings Risk Committee (NORC). This individual will leverage compliance and risk expertise to plan and execute a comprehensive roadmap to transform product risk. Roles & Responsibilities Serve as Secretary of the RCRC and NORC, including consulting with Senior Leadership to guide them through the committee process. Credibly challenge submissions to ensure adequacy and completeness. Draft, circulate, and maintain comprehensive meeting minutes to clearly articulate committee outcomes. Challenge product risks and assumptions across stakeholder groups. Develop and implement frameworks enabling consistent and rigorous monitoring across investment product types. Lead the planning and execution of a comprehensive roadmap to transform and mature the product risk function. Develop key product monitoring metrics and identify and escape product‑level breaches to Senior Leadership. Leverage data to define project goals, identify opportunities for process improvements, track performance metrics, and assist Compliance with data‑driven strategic decisions. Conduct in‑depth analysis to identify risks, trends, wins, and potential issues, providing actionable insights for leadership. Develop dashboards, reports, and presentations to communicate key risk indicators and control effectiveness to senior leadership and executive stakeholders. Incorporate data, including voice of the client and competitive intelligence, to facilitate compelling story‑telling that leads to cross‑functional executive alignment. Use data to assess current processes, recommend improvements, and implement optimized workflows. Develop best practices and standardized procedures for supported models. Requirements Bachelor’s degree in Finance, Business Administration or equivalent work experience. 5+ years of experience in Financial Services compliance. Experience managing projects or programs. Strategic thinker who can develop structured plans, actions, and measurable metrics and drive cross‑functional execution. Excellent communication skills and ability to partner with various organizational levels to influence key decisions. Ability to build presentations that convey a clear story supported by data findings. Comfortable in ambiguous situations – self‑starter and self‑learner. Multi‑tasking skills with the ability to manage complex deliverables and meet strict deadlines. Ability to work both autonomously and collaboratively. Excellent written and verbal communication skills. Teamwork orientation and a learn‑and‑grow attitude. Preferences FINRA Series 7 and 24. Pay Range $104,957.00 - $174,997.00 (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). Benefits & Total Rewards 401(k) matching Health benefits Employee stock options Paid time off Volunteer time off Other competitive perks and resources EOE. #J-18808-Ljbffr LPL Financial LLC