LPL Financial
AVP, Supervisory Controls Governance
🇺🇸Charlotte, North Carolina, United States4 days ago
$105K – $174KExecutiveFull Time
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.
The AVP, Supervisory Controls Governance & Change Management will lead the ongoing maintenance and maturation of the Supervisory Controls Management framework across the Supervision organization. This role is responsible for control governance, documentation management, change management coordination, audit and compliance testing readiness, issue management, and risk/control mapping across the organization.
This leader will partner closely with Supervision business line leaders, Compliance, Internal Audit, Compliance Testing, and Risk to ensure supervisory controls are clearly documented, appropriately owned, effectively maintained, and supported by strong governance and reporting routines. The role will also represent Supervision in key governance forums, coordinate change impacts, and provide leadership with regular readouts on the health of the control environment.
We’re looking for a thoughtful and highly organized leader who can bring structure to a complex control environment and build strong partnerships across Supervision, Compliance, Risk, Internal Audit, and Compliance Testing. The ideal candidate combines sound judgment, strong execution, and a practical understanding of control frameworks, documentation governance, issue management, and regulatory change. This person should be comfortable operating at both a strategic and hands-on level—shaping the program while also ensuring the details are right.
Responsibilities
Own and maintain the supervisory controls framework, including inventories of control ownership, Written Supervisory Procedures (WSPs), user guides, supporting procedures, and related documentation.
Establish and execute routines to ensure documents are reviewed, updated, approved, and communicated as processes, controls, or regulatory expectations change.
Drive change management activities tied to process, policy, system, and procedural updates, ensuring impacts to controls, documentation, training materials, and governance routines are identified and addressed.
Represent Supervision on control, governance, and change-related committees; prepare materials, communicate key decisions and action items, and cascade relevant updates across the organization.
Produce regular reporting and leadership readouts on control framework health, documentation status, change activity, audit and testing readiness, open issues, and management action plan progress.
Own the audit and compliance testing calendar and lead readiness routines in advance of planned events.
Partner with business line leaders before, during, and after audits and testing engagements to assess readiness, coordinate responses, support walkthroughs and evidence collection, and manage acceptance of findings.
Support the development of practical, well-scoped management action plans and oversee ongoing tracking, monitoring, and reporting through closure.
Maintain risk and control inventory records, including PRC / CSA records, within the centralized risk system, ensuring risks, controls, procedures, and owners are mapped accurately and remain current.
Identify control gaps, documentation inconsistencies, or governance weaknesses and recommend pragmatic improvements to strengthen the overall supervisory control environment.
Lead, coach, and develop direct reports, establish priorities across the team, and create a disciplined operating cadence for recurring governance and readiness activities.
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
7+ years of experience in financial services, with experience in supervision, compliance, risk, controls governance, internal audit, operational risk, or a related discipline.
Experience maintaining or enhancing a control framework, governance program, or documentation environment in a highly regulated setting.
Experience supporting internal audits, compliance testing, regulatory exams, or similar review activities, including issue management and remediation tracking.
Experience creating executive-ready reporting, dashboards, presentations, and governance materials.
Ability to assess findings, distinguish root-cause issues from isolated observations, and help design practical, executable remediation plans.
Prior people leadership experience or clear evidence of team leadership and work coordination in a matrixed environment.
FINRA Series 7, 63 & 65 or 66, & 24
Core Competencies
Control framework and documentation management
Governance routines and committee coordination
Change management and implementation discipline
Audit / testing readiness and issue management
Management action plan development and tracking
Strong written communication and executive presentation skills
Excellent organization, attention to detail, and follow-through
Sound judgment and ability to translate complex issues into practical actions
Preferences
Experience in a broker-dealer, wealth management, or other regulated financial services environment
Familiarity with WSPs, enterprise risk systems, and risk/control inventory management
Experience partnering with first-line leaders, Compliance, Risk, and Internal Audit in a three-lines-of-defense model
Experience with governance, issue management, or document management tooling
Pay Range:
$104,648.00 - $174,482.00Company 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 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?
Innovative Environment: We foster creativity and growth, providing a supportive and responsive leadership team. Learn more about our leadership team here!
Limitless Career Potential: Your career at LPL has no limits, only amazing potential. Learn more about our careers here!
Unified Mission: We are one team on one mission—taking care of our advisors so they can take care of their clients. Learn more about our mission and values here!
Impactful Work: Our size is just right for you to make a real impact. Learn more here!
Commitment to Equality: We support workplace equality and embrace diverse perspectives and backgrounds. Learn more here!
Community Focus: We care for our communities and encourage our employees to do the same. Learn more here!
Benefits and Total Rewards: Our Total Rewards package goes beyond just compensation and insurance. It includes a mix of traditional and unique benefits, perks, and resources designed to enhance your life both at work and at home. Learn more here!
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.
EAC12.9.25
