AVP, Control Initiative Execution & Delivery

Assistant Vice President, Control Initiative Execution & Delivery Key execution leader within the Supervisory Controls Management team, responsible for owning and advancing a portfolio of control‑related initiatives across the Supervision organization. Responsibilities Own and manage a portfolio of control‑related initiatives from assessment and planning through execution, implementation, and follow‑through. Develop a working understanding of a variety of supervisory control areas and quickly get up to speed on the business processes, systems, stakeholders, and risks associated with each initiative. Review available data, reporting, insights, documentation, and feedback to understand how a control area is performing today and where opportunities exist to strengthen effectiveness, efficiency, and user experience. Conduct interviews and working sessions with impacted staff, leaders, and partners to assess current‑state execution, pain points, strengths, weaknesses, and practical improvement opportunities. Help define and propose future‑state processes, workflows, or operating approaches that better meet business, control, and experience needs. Translate initiative scope into clear roadmaps, milestone plans, deliverables, dependencies, owners, and timelines, and maintain accountability against those commitments. Execute within a defined delivery framework to ensure progress is consistently documented, tracked, escalated appropriately, and communicated to key stakeholders. Provide regular updates on initiative status, risks, issues, dependencies, decisions, and overall progress to stakeholders and leadership. Bring the right partners into the work at the right time to gather input, secure buy‑in, maintain alignment, and support effective adoption. Coordinate across impacted groups, including Supervision business line leaders, Product, Technology, Compliance, Risk, operations partners, capacity management, and business readiness teams. Support initiative activities such as current‑state and future‑state mapping, requirements gathering, action planning, readiness planning, issue tracking, and implementation coordination. Maintain strong delivery discipline across meeting notes, action items, decision logs, milestone tracking, status reporting, and documentation of execution progress. Monitor commitments across all contributors and deliverable owners, helping drive follow‑through and accountability beyond directly owned tasks. Apply judgment and structure to work through ambiguity, competing priorities, and changing business needs while keeping initiatives on track. Operate with an eye toward the future of supervisory controls, including greater use of advanced systems, intuitive platforms, automation, data‑driven insights, and emerging AI‑enabled capabilities to support optimized control frameworks and processes. Requirements 7+ years of experience in financial services, with meaningful experience in Supervision, supervisory controls, compliance, risk, operations, business transformation, project management, program management, or a related discipline. Experience working in or alongside a supervision organization or control environment within a regulated business. Experience owning initiatives or projects from planning through execution, with responsibility for milestones, stakeholders, risks, and deliverables. Ability to analyze data, synthesize insights, assess processes, and translate findings into practical recommendations and execution plans. Experience building project plans, roadmaps, or implementation plans and managing work against committed timelines. Stakeholder management skills, including the ability to coordinate across multiple impacted groups and influence progress without direct authority. Written and verbal communication skills, including the ability to deliver concise status updates and clear documentation. Organization, attention to detail, and execution discipline. Preferred Experience in a broker‑dealer, wealth management, or other regulated financial services environment. Experience working across multiple control domains rather than in only one narrow specialty. Experience partnering with Product or Technology teams on system or process change initiatives. Familiarity with delivery, roadmap, workflow, or issue‑tracking tools. Experience supporting more modern, tech‑enabled, data‑driven, or automation‑oriented control frameworks. Pay Range $104,648.00 – $174,482.00 EEO Statement: LPL Financial is an Equal Employment Opportunity employer. #J-18808-Ljbffr LPL Financial LLC