LPL Financial' Governance, Risk and Compliance Support

Compliance, Legal & Risk

When it comes to risk management and compliance oversight, you can count on LPL to help you stay ahead of ever-changing rules and regulations. Our experienced team members will provide you with customized support, training, oversight, and guidance to help you maintain a compliant practice.

"We don’t want advisors to get bogged down on the compliance side. Ultimately, we exist to ensure that advisors can grow their business by focusing their time on providing support to prospects and clients."

Louis Simmons, AVP, Advertising Compliance

Your partner for peace of mind

Financial industry rules and regulations are complex and constantly changing. With a supportive team behind you, you can rest assured that your compliance requirements are covered.

LPL’s expert Business Risk Management team is backed by our advanced platform of risk and compliance management, services, and technology—all designed to protect you and your business.

You’ll also be supported by a dedicated team of supervisory principals to assist with day-to-day supervisory responsibilities:

Central Supervision

This team comprises first-line supervisors for specific activities, including:

Trade blotter
OSJ review tool tasks
Advisory
Non-electronic correspondence
Consolidated reporting

Complex Products Supervision

This team provides first-line supervisors for specific products, such as:

Variable annuities
Fixed index annuities
Alternative investments
Structured products
Leveraged and inverse exchange-traded funds

Advisor Review

This team assesses new advisors and certain activities of existing advisors, including:

Outside business activities
Private securities transactions

Serving your clients’ needs and running your practice are the focus of what you do. With a collaborative partner to keep up with regulations, you’ll have more time to do that—along with the peace of mind in knowing that your practice is compliant.