AVP - Investment Product Compliance Officer

Location: Fort Mill

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.

Job Overview:

The AVP, Investment Product Compliance role, will play a key role in overseeing compliance risks associated with investment products offered across LPL Financial's brokerage and advisory platforms. This highly collaborative role provides strategic compliance guidance to business leaders, supports responsible product growth, and helps strengthen the firm’s product governance, risk assessment, and control frameworks.

Responsibilities:

The AVP, Investment Product Compliance role is responsible for providing risk-based compliance oversight, business advisory support, and product governance for investment products offered across the firm.

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.

Business Advisory & Strategic Support:
Provide proactive, risk-based advice to business partners on investment product offerings, initiatives, and regulatory considerations. Partner with Compliance, Legal, Risk, and business stakeholders to support responsible growth while protecting the firm and its clients.

Policy, Training & Regulatory Change:
Develop and maintain policies, procedures, and training programs that support compliance with applicable regulatory obligations. Engage in regulatory change management activities, including applicability analysis, impact assessments, stakeholder engagement, and execution of required firm changes.

Controls, Remediation & Technology Enablement:
Support the adoption and improvement of controls aligned with regulations, industry best practices, and the firm’s risk profile. Drive remediation efforts, support regulatory commitments, escalate compliance issues as appropriate, and leverage existing or new technology solutions to fulfill compliance responsibilities.

Regulatory Expertise & Continuous Improvement:
Maintain a current understanding of regulations governing the firm’s business through ongoing education and industry engagement. Additional responsibilities or duties may be assigned as needed.

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 required8+ 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

Core Competencies:

Regulatory…