Regional AVP: Compliance & Risk Leader

LPL Financial; Fort Mill (SC); On-site; USD 105,000 - 174,000; Full time

Job summary

LPL Financial is seeking an Assistant Vice President to support the HOS VP and regional supervisory teams across risk and supervision matters, driving operational excellence and policy development.

This role leads strategic projects, coordinates with internal departments, and ensures adherence to FINRA, SEC, and state regulations while communicating plans to senior management. It requires strong leadership and a collaborative approach to delivering client-focused results.

Qualifications

• 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); Series 66 (or S63 and S65)

Responsibilities

• Provide operational and day-to-day support of the HOS VP along with supervising regional teams.
• Lead strategic projects and risk-related initiatives defined by senior management.
• Monitor workload and staffing to ensure adherence to service level agreements; plan process changes and resource needs.
• Interpret FINRA, SEC, and state regulations and develop/apply policies within regulatory constraints; communicate status and direction to management.
• Interact with Senior Management and coordinate with internal departments to socialize concerns and escalated matters.
• Identify regulatory issues and provide advice on rules; create and maintain internal policies and controls.
• Identify policy gaps and propose corrective actions for consideration and implementation.
• Drive and execute projects independently while anticipating next steps for the Client Success organization.

Skills

Strategic leadership

Regulatory

Risk management

Project management

Education

Bachelor’s degree in business/finance/accounting

Tools

Excel

PowerPoint

Word

Job description

LPL Financial is seeking an Assistant Vice President to support the HOS VP and regional supervisory teams across risk and supervision matters, driving operational excellence and policy development.

This role leads strategic projects, coordinates with internal departments, and ensures adherence to FINRA, SEC, and state regulations while communicating plans to senior management. It requires strong leadership and a collaborative approach to delivering client-focused results.