Lead with Purpose, Unlock Your Team’s Passion

At LPL, people leaders hold the key to the employee experience — shaping culture, driving performance, and guiding individuals to new heights. Because when that happens, we all win – clients, LPL, and most importantly our, employees.

If you're ready to lead with intention and discover what’s possible, LPL Financial invites you to apply today.

The Vice President of E-Communications Compliance is a senior leader responsible for the strategic direction, governance, and execution of second-line oversight for all electronic communications technologies across the firm. This leader drives enterprise-wide compliance with regulatory requirements while enabling innovation in digital communication tools.

The VP will lead a high-performing organization overseeing controls, risk identification, and regulatory adherence across all e-communications channels. This includes influencing enterprise technology strategy, advising executive stakeholders, and ensuring scalable, forward-looking compliance frameworks.

This role requires exceptional leadership, executive presence, deep regulatory expertise, and the ability to partner across business, technology, legal, and risk functions to balance innovation with effective risk management.

Responsibilities:

Strategic Leadership & Governance

• Define and execute the enterprise strategy for E-Communications Compliance aligned with regulatory expectations and LPL’s digital transformation roadmap

• Establish and maintain a robust second-line risk and controls framework governing all electronic communications platforms

• Serve as a trusted advisor to senior executives on regulatory risk, emerging trends, and compliance strategy

• Drive continuous improvement and innovation in surveillance, monitoring, and control effectiveness

Team Leadership & Organizational Development

• Lead, develop, and scale a team of managers, analysts, and senior professionals, fostering a culture of accountability, collaboration, and excellence

• Provide vision, coaching, and performance management aligned to business goals and talent development

• Build organizational capability to support evolving digital communication technologies and regulatory expectations

Risk Oversight & Regulatory Compliance

• Oversee compliance of all electronic communication channels including email, text messaging, chat, social media, marketing platforms, scheduling tools, and client portals

• Ensure adherence to SEC, FINRA, state regulations, and internal policies

• Proactively identify, escalate, and resolve compliance risks, control gaps, and emerging regulatory requirements

• Lead regulatory engagement and support audits, exams, and inquiries related to E-Communications

Cross-Functional Partnership

• Partner with Technology, Product, Legal, Supervision, and Business Leaders to ensure compliant design and deployment of digital communication tools

• Influence enterprise initiatives involving advisor technology, digital engagement, and automation

• Act as escalation point for complex compliance issues and ensure timely resolution

Operational Excellence & Innovation

• Drive the implementation of scalable systems, tools, and automation to enhance monitoring and compliance effectiveness

• Champion data-driven decision-making and advanced analytics within compliance processes

• Lead large-scale, complex initiatives and transformation programs impacting firm-wide communications oversight

What are we looking for?

We’re looking for strong collaborators who deliver exceptional client experiences and thrive in fast-paced, team-oriented environments. Our ideal candidates pursue greatness, act with integrity, and are driven to help our clients succeed. We value those who embrace creativity, continuous improvement, and contribute to a culture where we win together and create and share joy in our work.

Requirements:

• Bachelor’s degree in Business, Finance, Technology, or related field

• 10+ years of experience in financial services, compliance, legal, or risk management

• 5+ years of leadership experience with increasing scope, including managing managers and large teams

Core Competencies:

• Deep expertise in electronic communications regulations, including SEC, FINRA, and state requirements

• Proven experience leading enterprise-level programs and complex regulatory initiatives

• Experience partnering with technology organizations on digital platforms and compliance controls

• Executive presence and strong influencing skills

• Strategic thinking with ability to translate into execution

• Deep regulatory and risk management expertise

• Exceptional communication and stakeholder management

• Strong analytical mindset with a focus on solutions and innovation

• Ability to lead through change and drive transformation

Preferences:

• FINRA Series 7 and 24 strongly preferred

 

Pay Range:

$135,754.00 - $226,188.00

 

Actual base salary varies based on factors, including but not limited to, relevant skill, prior experience, education, base salary of internal peers, demonstrated performance, and geographic location. Additionally, LPL Total Rewards package is highly competitive, designed to support your success at work, at home, and at play – such as 401K matching, health benefits, employee stock options, paid time off, volunteer time off, and more. Your recruiter will be happy to discuss all that LPL has to offer!

 

Company Overview:

LPL Financial Holdings Inc. (Nasdaq: LPLA) is among the fastest growing wealth management firms in the U.S. As a leader in the financial advisor-mediated marketplace(6) , LPL supports over 32,000 financial advisors and the wealth management practices of approximately 1,100 financial institutions, servicing and custodying approximately $2.3 trillion in brokerage and advisory assets on behalf of approximately 8 million Americans. The firm provides a wide range of advisor affiliation models, investment solutions, fintech tools and practice management services, ensuring that advisors and institutions have the flexibility to choose the business model, services, and technology resources they need to run thriving businesses. For further information about LPL, please visit www.lpl.com.

At LPL, independence means that advisors and institution leaders have the freedom they deserve to choose the business model, services, and technology resources that allow them to run a thriving business. They have the flexibility to do business their way. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors and institutions, so they can take care of their clients.

For further information about LPL, please visit www.lpl.com.

Join LPL Financial: Where Your Potential Meets Opportunity

At LPL Financial, we believe that everyone deserves objective financial guidance. As the nation’s leading independent broker-dealer, we offer an integrated platform of cutting-edge technology, brokerage, and investment advisor services.

Why LPL?

• Innovative Environment: We foster creativity and growth, providing a supportive and responsive leadership team. Learn more about our leadership team here!

• Limitless Career Potential: Your career at LPL has no limits, only amazing potential. Learn more about our careers here!

• Unified Mission: We are one team on one mission—taking care of our advisors so they can take care of their clients. Learn more about our mission and values here!

• Impactful Work: Our size is just right for you to make a real impact. Learn more here!

• Commitment to Equality: We support workplace equality and embrace diverse perspectives and backgrounds. Learn more here!

• Community Focus: We care for our communities and encourage our employees to do the same. Learn more here!

• Benefits and Total Rewards: Our Total Rewards package goes beyond just compensation and insurance. It includes a mix of traditional and unique benefits, perks, and resources designed to enhance your life both at work and at home. Learn more here!

Join the LPL team and help us make a difference by turning life’s aspirations into financial realities. Please log in or create an account to apply to this position. Principals only. EOE.

Information on Interviews:

LPL will only communicate with a job applicant directly from an @lplfinancial.com email address and will never conduct an interview online or in a chatroom forum.  During an interview, LPL will not request any form of payment from the applicant, or information regarding an applicant’s bank or credit card.  Should you have any questions regarding the application process, please contact LPL’s Human Resources Solutions Center at (855) 575-6947.

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