VP, Govn, Risk & Compliance

Lead with Purpose, Unlock Your Team’s Passion

At LPL, people leaders hold the key to the employee experience — shaping culture, driving performance, and guiding individuals to new heights. Because when that happens, we all win – clients, LPL, and most importantly our, employees.

If you're ready to lead with intention and discover what’s possible, LPL Financial invites you to apply today.

The Marketing and Electronic Communication Compliance Officer must have a strong understanding of marketing practices and operations, brand management practices and advertising and promotional regulations, including Truth in Advertising laws, UDAP/UDAAP (Unfair, Deceptive, or Abusive Acts or Practices), the CAN-SPAM Act, TCPA, and applicable state marketing compliance requirements, and be able to translate these rules into actionable guidelines for transparent, consistent, and compliant communications across all channels. They should also be familiar with guidelines governing digital marketing (including 1:1 data driven marketing), social media campaigns, email communications, SMS, and print advertising to ensure all materials are accurate, transparent, and compliant.

The role also reviews and monitors marketing guidelines and policies to ensure effective management of reputational risk while producing strong, effective and differentiating marketing and communications to deliver business results. In addition to reviewing and approving marketing content, the role is responsible for ensuring all marketing materials and activities meet regulatory and internal risk standards by reviewing content, developing policies, training teams, monitoring campaigns, and conducting risk assessments. Knowledge of disclosure requirements, fair lending advertising standards, and brand representation rules is essential to mitigate reputational and regulatory risk. Success in this role also requires effective communication and collaboration between departments to support consistent compliance practices and build member trust through clear, ethical, and responsible marketing. Review marketing materials, due diligence responses, investor communications, and other fundraising and reporting-related materials (e.g. quarterly letters, recordings, memoranda, etc.) across various investment strategies from a legal, regulatory, and compliance perspective.

Responsibilities:

Strategic Leadership & Governance

• Define and execute the enterprise strategy for E-Communications Compliance aligned with regulatory expectations and LPL’s digital transformation roadmap

• Establish and maintain a robust second-line risk and controls framework governing all marketing and electronic communications platforms

• Serve as a trusted advisor to senior executives on regulatory risk, emerging trends, and compliance strategy

Risk Oversight & Regulatory Compliance

• Oversee compliance of all electronic communication channels including email, text messaging, chat, social media, marketing platforms, scheduling tools, and client portals

• Ensure adherence to SEC, FINRA, state regulations, and internal policies

• Proactively identify, escalate, and resolve compliance risks, control gaps, and emerging regulatory requirements

• Lead regulatory engagement and support audits, exams, and inquiries related to marketing and E-Communications

Cross-Functional Partnership

• Partner with Technology, Product, Legal, Supervision, and Business Leaders to ensure compliant design and deployment of digital communication tools

• Influence enterprise initiatives involving advisor technology, digital engagement, and automation

• Act as escalation point for complex compliance issues and ensure timely resolution

Operational Excellence & Innovation

• Drive the implementation of scalable systems, tools, and automation to enhance monitoring and compliance effectiveness

• Champion data-driven decision-making and advanced analytics within compliance processes

• Lead large-scale, complex initiatives and transformation programs impacting firm-wide communications oversight

What are we looking for?

We’re looking for strong collaborators who deliver exceptional client experiences and thrive in fast-paced, team-oriented environments. Our ideal candidates pursue greatness, act with integrity, and are driven to help our clients succeed. We value those who embrace creativity, continuous improvement, and contribute to a culture where we win together and create and share joy in our work.

Requirements:

• Bachelor’s degree in Business, Finance, Technology, or related field

• 10+ years of experience in financial services, compliance, legal, or risk management

• 5+ years of leadership experience with increasing scope, including managing managers and large teams

Core Competencies:

• Deep expertise in FINRA 2210:  Communications with the public regulations, including SEC and state requirements

• Investment Advisers Act Rule 206(4)-1 (“Marketing Rule”) SME?

• Proven experience leading enterprise-level programs and complex regulatory initiatives

• Experience partnering with technology organizations on digital platforms and compliance controls

• Executive presence and strong influencing skills

• Strategic thinking with ability to translate into execution

• Deep regulatory and risk management expertise

• Exceptional communication and stakeholder management

• Strong analytical mindset with a focus on solutions and innovation

• Ability to lead through change and drive transformation

Preferences:

• FINRA Series 7 and 24 strongly preferred

 

Pay Range:

$135,754.00 - $226,188.00

 

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. Your recruiter will be happy to discuss all that LPL has to offer!

 

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.

For further information about LPL, please visit www.lpl.com.

Join the LPL team and help us make a difference by turning life’s aspirations into financial realities. Please log in or create an account to apply to this position. Principals only. EOE.

Information on Interviews:

LPL will only communicate with a job applicant directly from an @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 (855) 575-6947.

EAC 5.19.26