LPL Financial · 1 month ago
AVP, Sponsor Compliance
Fort Mill/Charlotte
Full-time
Onsite
Mid, Senior Level
$102K/yr - $170K/yr
6+ years expLPL Financial is among the fastest growing wealth management firms in the U.S. The AVP, Sponsor Compliance will oversee the team managing sponsor reimbursement and gifts & entertainment responsibilities, ensuring regulatory compliance and operational excellence.
FinanceFinancial Services
Responsibilities
Directly manage the Sponsor Compliance team responsible for processing requests in MyComplianceOffice (MCO), including performance coaching and development and oversight of work product
Proactively manage volume for the team, anticipating downstream impacts to sponsors and client compensation
Set measurable team goals to foster operational excellence
Manage team escalations
Identify escalation issues (workflow and backlog), including root cause analysis to mitigate future impacts
Provide strategic recommendations to the Vice President to refine and enhance the operating model of the team, creating a more streamlined experience across supporting partners
Drive strategic problem-solving efforts for the team to deliver solutions that balance the requirements of the firm and the business needs of our advisors
Identify and establish controls, documenting to ensure adherence to established processes and procedures, updating to ensure controls reflect changes resulting from process improvements and/or policy changes
Resolve key friction points the team encounters through collaboration across teams and creative problem solving while ensuring visibility and oversight by the Vice President
Qualification
Required
Bachelor's degree in a related field; advanced degree a plus
Minimum of 6+ years relevant experience
Problem solving skills that enable efficient identification of issues; structuring and execution of analysis, development of actionable recommendations, and implement of those recommendations
Excellent verbal and written communication skills with experience in writing reports or presenting to senior management
Strong analytical skills with high attention to detail and accuracy
Preferred
Securities registration preferred
Benefits
401K matching
Health benefits
Employee stock options
Paid time off
Volunteer time off
Company
LPL Financial
LPL Financial provides investment solutions and tools for independent financial advisors.
5001-10000 employees
H1B Sponsorship
LPL Financial has a track record of offering H1B sponsorships. Please note that this does not
guarantee sponsorship for this specific role. Below presents additional info for your
reference. (Data Powered by US Department of Labor)
Distribution of Different Job Fields Receiving Sponsorship
Represents job field similar to this job
Trends of Total Sponsorships
2025 (106)
2024 (105)
2023 (122)
2022 (127)
2021 (65)
2020 (44)
Funding
Current Stage
Public CompanyTotal Funding
$2.5B2025-03-31Post Ipo Equity· $1.5B
2024-06-03Post Ipo Debt· $1B
2010-11-18IPO
Leadership Team
Rich Steinmeier
Interim CEO
Sid Vyas
Chief Technology Officer/EVP
Recent News
2026-01-23
2026-01-23
Investment News
2026-01-22
Company data provided by crunchbase