Regional Lead

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

Benefits offered by this job

401K matching

Health benefits

Stock options

Paid time off

Volunteer time off

Job summary

LPL Financial invites you to join as Assistant Vice President to provide operational support to the HOS VP and oversee supervisory processes across regions. You will collaborate with Advisors, OSJ Managers, and internal departments to address escalations and align risk controls with regulatory requirements.

The AVP will lead strategic projects, interpret FINRA/SEC rules, develop policies, and report to senior management.

Qualifications

• Undergraduate degree in Business, Accounting, Finance, or related field.
• 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 with escalations.
• Lead departmental initiatives to create efficiencies and improve risk mitigation.
• Monitor workload and staffing to ensure service levels are met.
• Interpret FINRA, SEC, and state regulations and apply policies.
• Communicate project status to management and drive initiatives.

Skills

Communication skills

Organization

Independent worker

Project management

Risk awareness

Education

Undergraduate degree in Business/Finance

Tools

MS Office

Job description

Lead with Purpose, Unlock Your Team's Passion

At LPL, people leaders hold the key to the employee experience - shaping culture, driving performance, and guiding individuals to new heights. Because when that happens, we all win - clients, LPL, and most importantly our, employees.

If you're ready to lead with intention and discover what's possible, LPL Financial invites you to apply today.

The Assistant Vice President (AVP) will be responsible for providing operational and day-to-day support of the HOS VP along with supporting their direct employees' successful completion of supervisory functions within their dedicated regions. In addition, the AVP will be responsible for leading strategic projects as defined by senior management and acting as the liaison between their assigned regions and various stakeholders of the firm to provide insight and support related to risk and supervision matters.

Responsibilities

• Service Management - Will be responsible for supporting Vice President and regional supervisory teams with escalations while maintaining positive relationships with Advisors, OSJ Managers and internally throughout the firm. The Assistant Vice President will engage and coordinate with Business Consultants and other internal departments to socialize concerns and escalated matters with senior leaders as needed
• Strategic Projects and Initiatives - The Assistant Vice President will focus on leading departmental initiatives that create efficiencies, streamline processes, and improve risk mitigation capabilities that align with corporate goals
• Production Management - Through metrics and reporting, will monitor workload and staffing for designated regions to ensure staff adheres to service level agreements. Strategize with management on approach to build or change current processes / procedures, including resources needed, requirements with which to comply, timeline for implementation, and ways with which to actively supervise these processes
• Must possess the ability to interpret FINRA, SEC, and state regulations and develop and apply certain policies and procedures within the scope of the current regulatory environment in an attempt to mitigate risk and protect the firm. Must be able to communicate status and project outline to management and set the specific direction of a project, lead, and maintain an overall vision of the initiative/project
• Interact appropriately and confidently with Senior Management
• Serve as a key contact for internal departments, such as Operations, Service Center, and various departments across Client Success
• Anticipate the needs of LPL Financial and the Client Success organization in order to be able to define next steps with projects and other functions and be able to independently drive/execute projects
• Identify specific regulatory issues, the application of regulatory requirements, and provision of advice on these rules and create and maintain internal policies, controls, etc.
• Identify and report significant gaps in policy, procedure and controls to management, while offering corrective actions for consideration and implementation
• Ability to identify problem areas, analyze risk for LPL Financial and develop policy, procedure and controls to effectively supervise and mitigate said risk

What are we looking for?

We're looking for strong collaborators who deliver exceptional client experiences and thrive in fast-paced, team-oriented environments. Our ideal candidates pursue greatness , act with integrity , and are driven to help our clients succeed . We value those who embrace creativity, continuous improvement, and contribute to a culture where we win together and create and share joy in our work.

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); Series 66 (or S63 and S65)

Core Competencies

• Must work well under competing deadlines and possess strong organizational skills
• Oral and written communication skills
• Industry acumen, self-starter and the ability to work independently
• Ability to multi-task, prioritize, problem solve, trouble shoot and follow-up are essential in this role
• Prioritize tasks and project management
• Knowledge in all Microsoft applications; particularly, Excel, Word, Access, and PowerPoint

Preferences

• Prior leadership/team management experience preferred
• Experience using AI tool s
• Project management experience

Pay Range:

$104,648.00 - $174,482.00

Actual base salary varies based on factors, including but not limited to, relevant skill, prior experience, education, base salary of internal peers, demonstrated performance, and geographic location. Additionally, LPL Total Rewards package is highly competitive, designed to support your success at work, at home, and at play - such as 401K matching, health benefits, employee stock options, paid time off, volunteer time off, and more. Your

• 401K matching, health benefits, employee stock options, paid time off, volunteer time off, and more.