Where Ambition Meets Innovation
Build a career that matches all your initiative with an impressive dose of innovation. From cutting-edge resources and a collaborative environment to the freedom to make an impact and more, you’ll find the ingredients you need at LPL Financial to shape your success while helping clients pursue their financial goals.
The Assistant Vice President, Control Initiative Execution & Delivery will serve as a key execution leader within the Supervisory Controls Management team, responsible for owning and advancing a portfolio of control-related initiatives across the Supervision organization. This role is designed for broad-based supervisory controls professionals who can quickly understand a wide range of control environments, assess how those controls operate today, and drive structured execution to deliver stronger future-state processes, workflows, and outcomes.
This is a highly execution-oriented individual contributor role. There may be multiple professionals in this role, each maintaining a portfolio of initiatives and partnering closely with other stakeholders across the firm. The AVP does not need to be the deepest subject matter expert in every control area but must bring enough breadth across supervision and supervisory controls to lead effectively regardless of topic, ask the right questions, synthesize available insights, and move work forward in a disciplined and well-coordinated way.
The ideal candidate combines broad supervisory controls knowledge with strong program or project delivery skills, a structured approach to problem-solving, and the ability to coordinate across multiple stakeholders to assess current state, define future state, and execute work to completion.
We’re looking for a strong execution-oriented professional who brings broad familiarity with supervision and supervisory controls, but who also knows how to turn ideas into action. The ideal candidate is organized, curious, and able to move comfortably between analysis, planning, stakeholder management, and delivery. This person should be able to assess a control area they may not know deeply on day one, ask thoughtful questions, build credibility quickly, and drive work forward in a structured and practical way.
This role is best suited for someone who enjoys solving complex business problems, coordinating across functions, and bringing order to multifaceted initiatives with many moving parts. Success in this role will require strong follow-through, sound judgment, clear communication, and the ability to influence without direct authority.
Responsibilities
Own and manage a portfolio of control-related initiatives from assessment and planning through execution, implementation, and follow-through.
Develop a working understanding of a variety of supervisory control areas and quickly get up to speed on the business processes, systems, stakeholders, and risks associated with each initiative.
Review available data, reporting, insights, documentation, and feedback to understand how a control area is performing today and where opportunities exist to strengthen effectiveness, efficiency, and user experience.
Conduct interviews and working sessions with impacted staff, leaders, and partners to assess current-state execution, pain points, strengths, weaknesses, and practical improvement opportunities.
Help define and propose future-state processes, workflows, or operating approaches that better meet business, control, and experience needs.
Translate initiative scope into clear roadmaps, milestone plans, deliverables, dependencies, owners, and timelines, and maintain accountability against those commitments.
Execute within a defined delivery framework to ensure progress is consistently documented, tracked, escalated appropriately, and communicated to key stakeholders.
Provide regular updates on initiative status, risks, issues, dependencies, decisions, and overall progress to stakeholders and leadership.
Bring the right partners into the work at the right time to gather input, secure buy-in, maintain alignment, and support effective adoption.
Coordinate across impacted groups, including Supervision business line leaders, Product, Technology, Compliance, Risk, operations partners, capacity management, and business readiness teams.
Support initiative activities such as current-state and future-state mapping, requirements gathering, action planning, readiness planning, issue tracking, and implementation coordination.
Maintain strong delivery discipline across meeting notes, action items, decision logs, milestone tracking, status reporting, and documentation of execution progress.
Monitor commitments across all contributors and deliverable owners, helping drive follow-through and accountability beyond directly owned tasks.
Apply judgment and structure to work through ambiguity, competing priorities, and changing business needs while keeping initiatives on track.
Operate with an eye toward the future of supervisory controls, including greater use of advanced systems, intuitive platforms, automation, data-driven insights, and emerging AI-enabled capabilities to support optimized control frameworks and processes.
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
7+ years of experience in financial services, with meaningful experience in Supervision, supervisory controls, compliance, risk, operations, business transformation, project management, program management, or a related discipline.
Broad experience working in or alongside a supervision organization or control environment within a regulated business.
Demonstrated experience owning initiatives or projects from planning through execution, with responsibility for milestones, stakeholders, risks, and deliverables.
Ability to analyze data, synthesize insights, assess processes, and translate findings into practical recommendations and execution plans.
Experience building project plans, roadmaps, or implementation plans and managing work against committed timelines.
Strong stakeholder management skills, including the ability to coordinate across multiple impacted groups and influence progress without direct authority.
Strong written and verbal communication skills, including the ability to deliver concise status updates and clear documentation.
High degree of organization, attention to detail, and execution discipline
Core Competencies
Supervisory controls knowledge
Initiative execution and delivery
Program / project management discipline
Current-state assessment and future-state design
Cross-functional coordination and stakeholder management
Risk, issue, and dependency management
Organization and follow-through skills
Analytical thinking and structured problem-solving
Business readiness and change coordination
Comfort operating in a more technology-enabled control environment
Preferences
Experience in a broker-dealer, wealth management, or other regulated financial services environment
Experience working across multiple control domains rather than in only one narrow specialty
Experience partnering with Product or Technology teams on system or process change initiatives
Familiarity with delivery, roadmap, workflow, or issue-tracking tools
Experience supporting more modern, tech-enabled, data-driven, or automation-oriented control frameworks
Pay Range:
$104,648.00 - $174,482.00Company 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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