Regional Lead

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

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.

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 tools
• 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.

Company Overview

LPL Financial Holdings Inc. (Nasdaq: LPLA) is among the fastest growing wealth management firms in the U.S. As a leader in the financial advisor-mediated marketplace(6) , LPL supports over 32,000 financial advisors and the wealth management practices of approximately 1,100 financial institutions, servicing and custodying approximately $2.3 trillion in brokerage and advisory assets on behalf of approximately 8 million Americans. The firm provides a wide range of advisor affiliation models, investment solutions, fintech tools and practice management services, ensuring that advisors and institutions have the flexibility to choose the business model, services, and technology resources they need to run thriving businesses. For further information about LPL, please visit www.lpl.com.

At LPL, independence means that advisors and institution leaders have the freedom they deserve to choose the business model, services, and technology resources that allow them to run thriving businesses. They have the flexibility to do business their way. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors and institutions, so they can take care of their clients.

For further information about LPL, please visit www.lpl.com.

Principals only. EOE.

Information on Interviews

LPL will only communicate with a job applicant directly from an @lplfinancial.com email address and will never conduct an interview online or in a chatroom forum. During an interview, LPL will not request any form of payment from the applicant, or information regarding an applicant’s bank or credit card. Should you have any questions regarding the application process, please contact LPL’s Human Resources Solutions Center at [phone].

EAC 5.19.26