Regional AVP, Supervision
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Job Description
Assistant Vice President overseeing operational support and leading strategic initiatives at LPL Financial. Collaborating with regional teams to enhance supervision processes.
Responsibilities:
- Responsible for providing operational and day-to-day support of the Supervision VP
- Lead strategic projects and act as liaison between assigned regions and various stakeholders
- Support Vice President and regional supervisory teams with escalations
- Engage and coordinate with Business Consultants and internal departments
- Monitor workload and staffing for designated regions to ensure compliance with service level agreements
- Analyze risk for LPL Financial and develop policies and controls to mitigate said risk
Requirements:
- Undergraduate degree in Business, Accounting, Finance, or related discipline
- A minimum of 7+ years experience in supervision, compliance and/or regulatory matters
- Series 7, 9 and 10 (or Series 24); Series 66 (or S63 and S65)
- Must have the ability to manage competing deadlines and possess strong organizational skills
- Oral and written communication skills
- Industry acumen, self-starter and the ability to work independently
- 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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