AVP - Investment Product Compliance Officer

LPL Financial; Fort Mill (SC); On-site; USD 105,000 - 175,000; Full time

Benefits offered by this job

401K matching

Health benefits

Employee stock options

Paid time off

Volunteer time off

Job summary

LPL Financial in Fort Mill, SC is seeking an AVP, Investment Product Compliance to oversee compliance risks across brokerage and advisory platforms. You will partner with business leaders to ensure product governance, risk assessment, and control framework alignment while enabling responsible product growth.

The role requires deep knowledge of investment products, regulatory expectations, and the ability to translate complex rules into practical guidance.

Qualifications

• Bachelor’s degree required.
• 8+ years of financial services compliance experience.
• Strong knowledge of investment products and regulatory requirements.
• Excellent written and verbal communication; translate regulatory concepts.
• Ability to manage multiple priorities and lead cross-functional projects.

Responsibilities

• Maintain understanding of compliance risks and controls for investment products.
• Provide risk-based advisory to business partners on product offerings and regulatory considerations.
• Develop and maintain policies, procedures, and training for regulatory obligations.
• Drive remediation efforts and leverage technology to fulfill compliance responsibilities.
• Maintain current regulatory knowledge and engage in continuous improvement.

Education

Bachelor’s degree

Job description

Where Ambition Meets Innovation

Build a career that matches all your initiative with an impressive dose of innovation. From cutting-edge resources and a collaborative environment to the freedom to make an impact and more, you’ll find the ingredients you need at LPL Financial to shape your success while helping clients pursue their financial goals.

Job Overview

The AVP, Investment Product Compliance role, will play a key role in overseeing compliance risks associated with investment products offered across LPL Financial's brokerage and advisory platforms. This highly collaborative role provides strategic compliance guidance to business leaders, supports responsible product growth, and helps strengthen the firm’s product governance, risk assessment, and control frameworks.

Responsibilities

• Product Compliance Oversight & Risk Assessment: Maintain a comprehensive understanding of compliance risks and controls associated with investment products, including sales practice obligations, disclosure requirements, and product governance expectations. Identify and document control gaps, assess emerging risks, and support the development and execution of remediation plans.
• Business Advisory & Strategic Support: Provide proactive, risk-based advice to business partners on investment product offerings, initiatives, and regulatory considerations. Partner with Compliance, Legal, Risk, and business stakeholders to support responsible growth while protecting the firm and its clients.
• Policy, Training & Regulatory Change: Develop and maintain policies, procedures, and training programs that support compliance with applicable regulatory obligations. Engage in regulatory change management activities, including applicability analysis, impact assessments, stakeholder engagement, and execution of required firm changes.
• Controls, Remediation & Technology Enablement: Support the adoption and improvement of controls aligned with regulations, industry best practices, and the firm’s risk profile. Drive remediation efforts, support regulatory commitments, elevate compliance issues as appropriate, and leverage existing or new technology solutions to fulfill compliance responsibilities.
• Regulatory Expertise & Continuous Improvement: Maintain a current understanding of regulations governing the firm’s business through ongoing education and industry engagement. Additional responsibilities or duties may be assigned as needed.

Requirements

• Bachelor’s degree required
• 8+ years of relevant experience in financial services compliance, legal, risk, or supervision
• Strong knowledge of investment products and related regulatory requirements, including sales practice, disclosures, and supervision, and product governance expectations
• Excellent written and verbal communication skills, with the ability to translate complex regulatory concepts into practical guidance for business stakeholders and senior leaders
• Demonstrated ability to manage multiple priorities, lead projects, influence cross-functional partners, and drive timely execution in a fast-paced environment

Core Competencies

• Regulatory and Product Expertise: Maintain a current understanding of applicable compliance risks, rules, regulations, and industry practices related to investment products offered across brokerage and advisory platforms.
• Risk-Based Judgment and Problem Solving: Analyze complex issues, evaluate regulatory and business impacts, and recommend practical solutions that align with the firm’s risk appetite and client-focused obligations.
• Influence and Collaboration: Build strong relationships with business partners, Compliance, Legal, Risk, and senior stakeholders to provide credible guidance and advance shared objectives.
• Leadership, Integrity, and Continuous Improvement: Demonstrate sound judgment, high ethical standards, accountability, and a commitment to improving processes, controls, and outcomes.

Preferences

• Experience supporting a broad range of investment products, including mutual funds, unit investment trusts (UITs), and 529 Plans.
• Previous experience with compliance surveillance applications
• Experience interacting with regulators
• Industry-related experience specific to Wealth Management
• Series 7 or other industry-related certifications

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. Additionally, LPL Total Rewards package is highly competitive, designed to support your success at work, at home, and at play – such as 401K matching, health benefits, employee stock options, paid time off, volunteer time off, and more.

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

Company Overview

LPL Financial Holdings Inc. (Nasdaq: LPLA) is among the fastest growing wealth management firms in the U.S. As a leader in the financial advisor-mediated marketplace(6) , LPL supports over 32,000 financial advisors and the wealth management practices of approximately 1,100 financial institutions, servicing and custodying approximately $2.3 trillion in brokerage and advisory assets on behalf of approximately 8 million Americans. The firm provides a wide range of advisor affiliation models, investment solutions, fintech tools and practice management services, ensuring that advisors and institutions have the flexibility to choose the business model, services, and technology resources they need to run thriving businesses. For further information about LPL, please visit www.lpl.com.

At LPL, independence means that advisors and institution leaders have the freedom they deserve to choose the business model, services, and technology resources that allow them to run a thriving business. They have the flexibility to do business their way. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors and institutions, so they can take care of their clients.

EOE.

Information on Interviews

LPL will only communicate with a @lplfinancial.com 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 [phone]. EAC 5.19.26