Senior Investment Product Compliance Leader

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

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.