Associate Vice President, Investment Product Compliance Greater Charlotte, NC Area + 1 more

The Company is seeking an AVP, Investment Product Compliance to take on a pivotal role in managing compliance risks related to investment products across its brokerage and advisory platforms. The successful candidate will be responsible for providing risk-based compliance oversight, business advisory support, and product governance. This includes maintaining a deep understanding of compliance risks and controls, offering strategic compliance guidance to business leaders, and supporting the development and execution of remediation plans. The role also involves policy development, training, and regulatory change management, as well as driving continuous improvement in compliance processes. Applicants for the AVP, Investment Product Compliance position at the company should have a Bachelor's degree and at least 8 years' of relevant experience in financial services compliance, legal, risk, or supervision. A strong knowledge of investment products and related regulatory requirements is essential, as is the ability to manage multiple priorities, lead projects, and influence cross-functional partners. The role requires excellent communication skills, the ability to translate complex regulatory concepts, and a proven track record of building strong relationships with various stakeholders. Core competencies include regulatory and product expertise, risk-based judgment, problem-solving, influence, collaboration, and a commitment to leadership, integrity, and continuous improvement.

Hiring Company

LPL Financial