AVP, Supervisory Controls Governance

LPL Financial

AVP leading Supervisory Controls Governance at LPL Financial. Overseeing control governance and documentation management while ensuring compliance readiness.

Posted 6/11/2026full-timeRemote • North Carolina • 🇺🇸 United StatesLead💰 $104,648 - $174,482 per yearWebsite

About the role

Key responsibilities & impact

own and maintain the supervisory controls framework, including inventories of control ownership, Written Supervisory Procedures (WSPs), user guides, supporting procedures, and related documentation
establish and execute routines to ensure documents are reviewed, updated, approved, and communicated as processes, controls, or regulatory expectations change
drive change management activities tied to process, policy, system, and procedural updates
represent Supervision on control, governance, and change-related committees; prepare materials, communicate key decisions and action items
produce regular reporting and leadership readouts on control framework health, documentation status, change activity, audit and testing readiness, open issues, and management action plan progress
own the audit and compliance testing calendar and lead readiness routines in advance of planned events
partner with business line leaders before, during, and after audits and testing engagements to assess readiness
support the development of practical, well-scoped management action plans and oversee ongoing tracking, monitoring, and reporting through closure
maintain risk and control inventory records
identify control gaps, documentation inconsistencies, or governance weaknesses and recommend pragmatic improvements to strengthen the overall supervisory control environment
lead, coach, and develop direct reports, establish priorities across the team, and create a disciplined operating cadence for recurring governance and readiness activities

Requirements

What you’ll need

7+ years of experience in financial services
experience in supervision, compliance, risk, controls governance, internal audit, operational risk, or a related discipline
experience maintaining or enhancing a control framework, governance program, or documentation environment in a highly regulated setting
experience supporting internal audits, compliance testing, regulatory exams, or similar review activities, including issue management and remediation tracking
experience creating executive-ready reporting, dashboards, presentations, and governance materials
ability to assess findings, distinguish root-cause issues from isolated observations, and help design practical, executable remediation plans
prior people leadership experience or clear evidence of team leadership and work coordination in a matrixed environment
FINRA Series 7, 63 & 65 or 66, & 24

Benefits

Comp & perks

401K matching
health benefits
employee stock options
paid time off
volunteer time off
competitive compensation package

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills & Tools

supervisory controls frameworkcontrol ownershipWritten Supervisory Procedures (WSPs)change managementaudit and compliance testingrisk and control inventoryissue managementremediation trackingexecutive reportinggovernance materials

Soft Skills

leadershipcoachingteam developmentcommunicationprioritizationproblem-solvinganalytical thinkingcollaborationorganizational skillsdiscipline

Certifications

FINRA Series 7FINRA Series 63FINRA Series 65FINRA Series 66FINRA Series 24