LPL Financial

AVP, Regional Lead

LPL Financial

full-time

Posted on:

Location Type: Remote

Location: Remote • 🇺🇸 United States

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Salary

💰 $101,625 - $169,375 per year

Job Level

Senior

About the role

  • 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

Applicant Tracking System Keywords

Tip: use these terms in your resume and cover letter to boost ATS matches.

Hard skills
complianceregulatory mattersmetrics and reportingworkload monitoringstaffing analysis
Soft skills
leadershipcoordinationproblem-solvingcommunication
Certifications
Series 7Series 9Series 10Series 24Series 4Series 53Series 66S63S65