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Vice President – Mandatory Regulatory Portfolio Governance
LPL Financial. Own the end-to-end governance framework for the Mandatory Regulatory portfolio .
Core Competencies
Role fitCore Competencies
Use this summary to align your resume positioning with the role.
Demonstrates extensive experience in portfolio management and enterprise governance, with a strong focus on regulatory compliance and risk management. Proven ability to lead cross-functional teams, influence stakeholders, and drive strategic decision-making in highly regulated industries.
Highest-signal resume keywords
Portfolio ManagementRegulatory ComplianceExecutive CommunicationStrategic PlanningData-Driven Decision Making
ATS Keywords
Tailor your resumeApplicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills
Governance FrameworksInvestment Decision FrameworksBudget ManagementFinancial Performance MonitoringRisk ManagementPortfolio Planning MethodologiesChange LeadershipAgile MethodologiesEPMO ProcessesData Analytics
Soft Skills
Organizational InfluenceCollaborationContinuous ImprovementMentorshipComplex Problem Solving
Tools & Technologies
AIAutomationPredictive Insights
Industry Keywords
Financial ServicesWealth ManagementBankingBrokerageSECFINRAMSRBFINCENNYDFSCompliance
About the role
Key responsibilities & impact- Own the end-to-end governance framework for the Mandatory Regulatory portfolio
- Lead annual portfolio planning, including intake, evaluation, prioritization, and funding recommendations
- Develop and maintain portfolio allocation strategies to optimize regulatory risk reduction
- Evaluate regulatory findings, commitments, audit observations, industry developments, and emerging risks to inform investment decisions
- Establish funding recommendations across portfolio, reserve, and contingency allocations
- Lead ManReg Operating and Executive Governance Forums
- Prepare executive-level materials and recommendations for MD, GMD, EVP, and Executive Committee audiences
- Drive decision-making across Business, Product, Technology, Risk, Compliance, Legal, and Operations leaders
- Facilitate resolution of investment, prioritization, funding, and delivery conflicts
- Serve as primary point of contact for portfolio governance and funding inquiries
- Oversee portfolio financial performance across approved initiatives
- Partner with FP&A, EPMO, Procurement, and delivery leaders on forecasting, budget management, and variance reporting
- Govern contingency and reserve funding allocation processes
- Monitor portfolio financial health and identify risks requiring executive visibility
- Establish and monitor portfolio-level delivery health measures
- Identify emerging execution risks and facilitate remediation activities
- Ensure governance and oversight processes for funded initiatives
- Drive consistency in accountability, reporting, and escalation management
- Improve portfolio governance processes, reporting capabilities, and investment decision frameworks
- Expand automation, data analytics, AI, and predictive insights in portfolio management
- Develop scalable governance models for additional strategic investment portfolios
- Provide leadership and mentorship to portfolio governance resources
- Foster accountability, collaboration, continuous improvement, and operational excellence
- Influence senior leaders without direct authority to achieve enterprise outcomes
Requirements
What you’ll need- 10+ years of experience in portfolio management, product management, enterprise governance, management consulting, transformation, risk, compliance, or related fields
- 7+ years of leadership experience operating across large, cross-functional organizations
- Experience managing large-scale investment portfolios, budgets, or enterprise programs
- Experience presenting to senior executive and board-adjacent audiences
- Experience operating within Financial Services, Wealth Management, Banking, Brokerage, or highly regulated industries
- Strong understanding of governance, portfolio planning, prioritization methodologies, and investment decision frameworks
- Executive communication and storytelling
- Enterprise portfolio governance
- Strategic planning and prioritization
- Regulatory and risk management awareness
- Financial and investment management
- Organizational influence without authority
- Executive stakeholder management
- Data-driven decision making
- Complex problem solving
- Change leadership and organizational transformation
- Wealth management or broker-dealer experience preferred
- Familiarity with SEC, FINRA, MSRB, FINCEN, NYDFS, and related regulatory frameworks preferred
- Experience working closely with Compliance, Risk, Legal, Information Security, or Audit organizations preferred
- Knowledge of Agile, SAFe, and enterprise delivery frameworks preferred
- Experience with EPMO processes, financial governance, and annual planning cycles preferred
- Experience leveraging AI, advanced analytics, or automation within governance and portfolio management functions preferred
Benefits
Comp & perks- 401K matching
- Health benefits
- Employee stock options
- Paid time off
- Volunteer time off
- Competitive LPL Total Rewards package