AVP, Sponsor Compliance

AVP, Sponsor Compliance at LPL Financial

AVP, Sponsor Compliance provides programmatic oversight of the team managing sponsor reimbursement and gifts & entertainment within the broader Governance & Controls group of the LPL Compliance organization. This key function ensures regulatory compliance on the value adds the firm provides to advisors.

• Directly manage the Sponsor Compliance team responsible for processing requests in My Compliance Office  (MCO), including performance coaching, development, and oversight of work product
  • Proactively manage volumes, anticipating downstream impacts to sponsors and client compensation
  • Set measurable team goals to foster operational excellence
• Manage team escalations
  • Identify escalation issues (workflow and backlog) and conduct root‑cause analysis to mitigate future impacts
• Provide strategic recommendations to the Vice President to refine and enhance the operating model of the team, creating a more streamlined experience across supporting partners
• Drive strategic problem‑solving efforts to deliver solutions that balance firm requirements and business needs
• Identify and establish controls, documenting adherence to established processes and procedures, and updating controls to reflect changes from process improvements or policy shifts
• Resolve key friction points through collaboration across teams and creative problem‑solving while ensuring visibility and oversight by the Vice President

• Bachelor’s degree in a related field; advanced degree a plus
• Minimum of 6 + years relevant experience

• Problem‑solving skills that enable efficient identification of issues, structuring and execution of analysis, development of actionable recommendations, and implementation of those recommendations
• Excellent verbal and written communication skills with experience writing reports or presenting to senior management
• Strong analytical skills with high attention to detail and accuracy

• Securities registration preferred

$101,925–$169,875 per year. The actual base salary varies based on factors such as relevant skill, prior experience, education, and geographic location. LPL’s Total Rewards package includes 401(k) matching, health benefits, employee stock options, paid time off, volunteer time off, and more.

LPL Financial Holdings Inc. (Nasdaq: LPLA) is one of the fastest‑growing wealth‑management firms in the United States. As a leader in the financial advisor‑mediated marketplace, LPL supports over 29,000 financial advisors and the wealth‑management practices of 1,100 financial institutions, servicing and custodying approximately $1.9 trillion in brokerage and advisory assets for roughly 7 million Americans.

At LPL Financial, everyone deserves objective financial guidance. As the nation’s leading independent broker‑dealer, we offer an integrated platform of cutting‑edge technology, brokerage, and investment advisor services.

• Seniority level:
  Executive
• Employment type:
  
  Full‑time
• Job function:
  Legal

Principals only. EOE.

LPL will only communicate with a job applicant directly from an  email address and will never conduct an interview online or in a chatroom forum. During an interview, LPL will not request any form of payment from the applicant, or information regarding an applicant’s bank or credit card. Should you have any questions regarding the application process, please contact LPL’s Human Resources Solutions Center at (855) 575‑6947.