EVP, Chief Compliance Officer

LPL Financial

. Set and execute the enterprise Compliance strategy .

Posted 11/10/2026full-timeNew York City • New York • United StatesLead💰 $300,000 - $500,000 per yearWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates extensive expertise in compliance strategy, regulatory oversight, and risk management within highly regulated financial institutions. Capable of leading multidisciplinary teams and developing technology-enabled compliance programs that leverage data analytics and automation.

Highest-signal resume keywords

Compliance Strategy DevelopmentBroker-Dealer ExpertiseSEC And FINRA Regulatory KnowledgeEnterprise Privacy Program OversightLeadership In Compliance Functions

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Compliance Program DesignSupervisory ControlsRegulatory Examination ParticipationData AnalyticsAutomationMachine LearningCompliance TestingRisk ManagementConflicts Of Interest ManagementSales Practices Oversight

Soft Skills

LeadershipRelationship ManagementStrategic ThinkingCommunication

Tools & Technologies

AI-Enabled CapabilitiesCompliance Technology SolutionsData Management Systems

Certifications & Qualifications

FINRA Series 7FINRA Series 24Juris DoctorMBA

Industry Keywords

Financial ServicesRegistered Investment AdviserBroker-DealerCompliance OversightRegulatory ComplianceRisk ManagementInvestment Adviser ComplianceAMLFraud PreventionFinancial Crimes

About the role

Key responsibilities & impact

Set and execute the enterprise Compliance strategy
Own the design, maintenance, and effectiveness of LPL's Compliance and Privacy programs
Lead the firm's Privacy program
Provide compliance oversight for broker-dealer, registered investment adviser firms, advisors, sales practices, branch activity, products, communications, and marketing materials
Enable responsible innovation in new products, services, technology, data uses, and AI-enabled capabilities
Partner with Technology, Product, Legal, Risk, Operations, and business leaders to establish innovation guardrails
Build a forward-looking compliance model using data, technology, automation, and AI
Lead, develop, and retain a large, multidisciplinary organization
Participate in regulatory examinations, inquiries, investigations, and remediation commitments
Maintain relationships with the SEC, FINRA, state regulators, and other authorities
Design and direct supervisory control and compliance testing programs, including work supporting FINRA Rules 3120 and 3130
Report material gaps, trends, emerging risks, and corrective actions to senior management and governance bodies
Establish and oversee the framework for conflicts of interest

Requirements

What you’ll need

15+ years of progressive compliance, regulatory, legal, risk, or related financial services experience, including significant leadership experience within a large, complex, highly regulated financial institution
10+ years leading senior-level compliance functions or teams
Deep broker-dealer and registered investment adviser expertise
Strong knowledge of applicable SEC and FINRA rules and regulatory expectations
Experience with supervisory controls, sales practices, conflicts of interest, communications, branch oversight, testing, surveillance, and investment adviser compliance
Experience serving as, or operating at the level of, a Chief Compliance Officer or senior deputy CCO for a large broker-dealer, RIA, wealth management, asset management, banking, or similarly complex financial services organization
Ability to design, operate, and continuously enhance enterprise compliance programs
Preferred: experience leading or providing executive oversight of an enterprise Privacy program
Preferred: experience overseeing or partnering closely with AML, fraud, financial crimes, electronic communications, surveillance, branch examinations, senior investor protection, and conflicts-of-interest programs
Preferred: experience developing a technology-enabled compliance operating model using data analytics, automation, machine learning, or AI
Preferred: experience overseeing transformational change involving compliance operating models, technology modernization, organizational redesign, or regulatory remediation
Preferred: ability to advise Boards, executive leadership, and senior management
Juris Doctor, MBA, or other relevant advanced degree preferred
Relevant professional certifications such as FINRA Series 7 and 24, or ability to obtain required registrations following appointment

Benefits

Comp & perks

401K matching
Health benefits
Employee stock options
Paid time off
Volunteer time off
Competitive LPL Total Rewards package