Assistance Vice President, Supervision

The Assistant Vice President is responsible for providing operational and day-to-day support to the Regional Vice Presidents and a team of supervisory principals.

Additionally, The Regional Assistant Vice President is responsible for leading strategic projects as defined by the senior management team and collaborating with management at all levels throughout the firm.
  

• Service Management – Will be responsible for supporting Regional Vice Presidents and regional supervisory teams with escalations  while maintaining positive relationships with Advisors, OSJ Managers and internally throughout the firm. The Assistant Regional Vice President will engage and coordinate with Business Consultants and other internal departments to socialize concerns and escalated matters with senior leaders as needed.
• Strategic Projects and Initiatives – The Assistant Vice President will focus on leading departmental initiatives that create efficiencies, streamline processes, and improve risk mitigation capabilities that align with corporate goals.
• Production Management – Through metrics and reporting, will monitor workload and staffing for designated regions to ensure staff adheres to service level agreements. Strategize with management on approach to build or change current processes / procedures, including resources needed, requirements with which to comply, timeline for implementation, and ways with which to actively supervise these processes.
• Must possess the ability to interpret FINRA, SEC, and state regulations and develop and apply certain policies and procedures within the scope of the current regulatory environment in an attempt to mitigate risk and protect the firm. Must be able to communicate status and project outline to management and set the specific direction of a project, lead, and maintain an overall vision of the initiative/project

Other Job Duties:
• Interact appropriately and confidently with Senior Management.
• Prioritize tasks and project management
• Serve as a key contact for internal departments, such as Operations, Service Center, and various departments across Compliance, Legal and Risk (CLR).
• Anticipate the needs of LPL Financial and the CLR organization in order to be able to define next steps with projects and other functions and be able to independently drive/execute projects.
• Identify specific regulatory issues, the application of regulatory requirements, and provision of advice on these rules and create and maintain internal policies, controls, etc.
• Identify and report significant gaps in policy, procedure and controls to management, while offering corrective actions for consideration and implementation.

• Strong industry acumen, self-starter and the ability to work independently

• Subject matter expertise in Complex Products such as structured products, annuities, life insurance, alternative investments, etc...
• Ability to multi-task, prioritize, problem solve, trouble shoot and follow-up are essential in this role
• Ability to identify problem areas, analyze risk for LPL Financial and develop policy, procedure and controls to effectively supervise and mitigate said risk
• Must work well under competing deadlines and possess strong organizational skills
• Excellent oral and written communication skills
• Strong knowledge in all Microsoft applications; particularly, Excel, Word, Access, and PowerPoint

• Undergraduate degree in Business, Accounting, Finance, or related discipline preferred
• A minimum of 7-10 years’ experience in supervision, compliance and/or regulatory matters.
• Prior leadership/team management experience preferred

• Series 7, 9 and 10 (or Series 24); Series 4 & 53 required or must pass within 120 days of employment (for candidates with S24); Series 66 (or S63 and S65)

Pay Range:

Company Overview:

LPL Financial Holdings Inc. (Nasdaq: LPLA) was founded on the principle that the firm should work for advisors and institutions, and not the other way around. Today, LPL is a leader in the markets we serve, serving more than 23,000 financial advisors, including advisors at approximately 1,000 institutions and at approximately 580 registered investment advisor ("RIA") firms nationwide. We are steadfast in our commitment to the advisor-mediated model and the belief that Americans deserve access to personalized guidance from a financial professional.

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.

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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