Regional AVP, Supervision

LPL Financial

. Responsible for providing operational and day-to-day support of the Supervision VP .

Posted 5/7/2026full-timeRemote • North Carolina • 🇺🇸 United StatesLead💰 $104,648 - $174,482 per yearWebsite

About the role

Key responsibilities & impact

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

What you’ll need

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

Comp & perks

401K matching
health benefits
employee stock options
paid time off
volunteer time off

ATS Keywords

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Applicant Tracking System Keywords

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

Hard Skills & Tools

compliancerisk analysispolicy developmentcontrols mitigationsupervisionregulatory mattersproject managementstaffing managementservice level agreements

Soft Skills

organizational skillsoral communicationwritten communicationability to manage competing deadlinesself-starterindependent workstakeholder engagementcoordination

Certifications

Series 7Series 9Series 10Series 24Series 66S63S65