Senior Investment Product Compliance Lead

LPL Financial; Charlotte (NC); On-site; USD 105,000 - 175,000; Full time

Job summary

LPL Financial is seeking an AVP, Investment Product Compliance to oversee compliance risks across investment products on brokerage and advisory platforms. This role provides strategic guidance to business leaders and strengthens governance, risk assessment, and controls.

You will lead risk-based oversight, advise partners, develop policies and training, manage regulatory change, and drive remediation with technology enablement and cross-functional collaboration.

Qualifications

• 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.

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.

Skills

Regulatory expertise

Risk assessment

Cross-functional collaboration

Communication skills

Leadership

Education

Bachelor's degree

Tools

Compliance surveillance applications

Job description

LPL Financial is seeking an AVP, Investment Product Compliance to oversee compliance risks across investment products on brokerage and advisory platforms. This role provides strategic guidance to business leaders and strengthens governance, risk assessment, and controls.

You will lead risk-based oversight, advise partners, develop policies and training, manage regulatory change, and drive remediation with technology enablement and cross-functional collaboration.