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EVP, Chief Compliance Officer at LPL Financial - ApplyBlast

EVP, Chief Compliance Officer

LPL Financial

20 hours ago

3.5 on Glassdoor

New York, New York, United States

Onsite

Full Time

Executive

0 applicants

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About this role

The Executive Vice President, Chief Compliance Officer leads LPL Financial's enterprise Compliance and Privacy programs, establishing strategic direction and strengthening risk-based oversight across broker-dealer and registered investment adviser businesses. This role serves as a trusted advisor to senior leaders, regulators, and governance bodies while embedding compliance and privacy into new products, services, and AI-enabled capabilities. The position oversees policy management, regulatory change, privacy governance, and supervisory controls to ensure responsible innovation and client protection.

Responsibilities

Set and execute enterprise Compliance strategy aligning regulatory obligations and business priorities
Lead the firm's Privacy program establishing governance and accountability to protect personal information
Partner with Technology and Product leaders to embed compliance into new products and AI-enabled capabilities

Skills

About LPL Financial

lpl.com

Headquarters

San Diego, California, United States

Company Size

5001-10000 employees

Founded

1989

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A 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.