AVP, Regional Lead
Employment Information
Job Description
Assistant Vice President Manager at LPL Financial overseeing supervisory functions and leading strategic projects. Focus on risk mitigation and operational support within dedicated regions.
Responsibilities:
- Will be responsible for supporting Vice President and Regional Supervisory Principals with escalations
- The AVP will engage and coordinate with Field Management and other internal departments
- The AVP will focus on leading departmental initiatives that create efficiencies
- Through metrics and reporting, will monitor workload and staffing for designated regions
- Identify specific regulatory issues, the application of regulatory requirements
Requirements:
- Undergraduate degree in Business, Accounting, Finance, or related discipline
- A minimum of 7-10 years’ experience in supervision, compliance and/or regulatory matters
- Series 7, 9 and 10 (or Series 24, 4 & 53); Series 66 (or S63 and S65)
- Must possess the ability to interpret FINRA, SEC, and state regulations
- Strong knowledge in all Microsoft applications; particularly, Excel, Word, Access, and PowerPoint
Benefits:
- 401K matching
- health benefits
- employee stock options
- paid time off
- volunteer time off
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