Regional AVP - Compliance, Strategy & Operations

LPL Financial; Tempe (AZ); On-site; USD 105,000 - 174,000; Full time

Job summary

LPL Financial is seeking an Assistant Vice President to lead operational support and supervisory functions across regions in a dynamic, risk-conscious environment. You will manage strategic projects, coordinate with stakeholders, and drive process improvements while ensuring regulatory compliance.

You will partner with senior leadership to define project direction, mitigate risk, and oversee production management with a focus on service levels and policy adherence.

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

• Support Vice President and regional supervisory teams, escalations, and liaise with Advisors and internal departments.
• Lead departmental initiatives to create efficiencies, streamline processes, and improve risk mitigation.
• Monitor workload and staffing to ensure service levels; plan process changes and resources.
• Interpret FINRA, SEC, and state regulations and develop policies to mitigate risk.
• Communicate project status to management and define project direction.
• Interact with Senior Management and internal departments as a key contact.
• Identify regulatory issues and maintain internal policies, controls, and corrective actions.

Skills

Leadership

Regulatory compliance

Project management

Communication

Financial services

Risk assessment

Education

Bachelor's degree in Business/Accounting/Finance

Tools

Excel

PowerPoint

Microsoft Word

Access

Job description

LPL Financial is seeking an Assistant Vice President to lead operational support and supervisory functions across regions in a dynamic, risk-conscious environment. You will manage strategic projects, coordinate with stakeholders, and drive process improvements while ensuring regulatory compliance.

You will partner with senior leadership to define project direction, mitigate risk, and oversee production management with a focus on service levels and policy adherence.