Role Overview
As a VP, Supervisory Controls Management, you’ll architect and continuously enhance LPL’s supervisory controls framework—translating complex regulatory requirements into scalable controls, lean routines, and governance structures that mitigate risk and elevate both advisor and supervisor experiences. You’ll own the multi-year strategic roadmap—curating, grooming, and prioritizing a dynamic pipeline of strategic initiatives (e.g., new supervisory tooling rollouts) and tactical optimizations (e.g., workflow reengineering), with clear KPIs, dashboards, and reporting cadences to measure outcomes and drive accountability. You’ll lead cross-functional initiatives—aligning Compliance, Operations, Technology, and Business Units from ideation through execution, and embedding policy attestations, audit-readiness reviews, and governance forums to ensure regulatory compliance and operational excellence. You’ll leverage industry benchmarking and data-driven insights—surfacing continuous improvement opportunities and fostering a culture of proactive risk management and innovation.
Key Responsibilities
Required Qualifications
Preferred Qualifications
Pay Range:
$123,225-$205,375/year
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) was founded on the principle that the firm should work for advisors and institutions, and not the other way around. Today, LPL is a leader in the markets we serve, serving more than 23,000 financial advisors, including advisors at approximately 1,000 institutions and at approximately 580 registered investment advisor ("RIA") firms nationwide. We are steadfast in our commitment to the advisor-mediated model and the belief that Americans deserve access to personalized guidance from a financial professional.
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.
Join LPL Financial: Where Your Potential Meets Opportunity
At LPL Financial, we believe that 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.
Why LPL?
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.
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