AVP, Compliance Testing
LPL Financial
About this role
The Assistant Vice President (AVP), Compliance Testing at LPL Financial leads the Compliance Testing function to ensure the effectiveness of the firm’s compliance control framework. The role focuses on overseeing execution of risk-based testing engagements, improving testing methodology, and communicating results to senior leadership to support enterprise compliance objectives.
Skills
Qualifications
About LPL Financial
lpl.comA leading wealth management firm for independent advisors across the U.S., LPL’s technology and resources can help you and your clients succeed. Learn more.
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About LPL Financial
Headquarters
San Francisco, CA
Company Size
201-500 employees
Founded
2018
Industry
Technology
Glassdoor Rating
4.2 / 5
Leadership Team
Sarah Johnson
Chief Executive Officer
Michael Chen
Chief Technology Officer
Emily Williams
VP of Engineering
David Rodriguez
VP of Product
Jessica Thompson
Chief Financial Officer
Andrew Park
VP of Sales
Unlock Company Insights
View leadership team, funding history,
and employee contacts for LPL Financial.
Salary
$105k – $175k
per year