AVP, Regional Lead

AVP, Regional Lead – LPL Financial Join to apply for the AVP, Regional Lead role at LPL Financial Get AI‑powered advice on this job and more exclusive features. What if you could build a career where ambition meets innovation? At LPL Financial, we empower professionals to shape their success while helping clients pursue their financial goals with confidence. What if you could have access to cutting‑edge resources, a collaborative environment, and the freedom to make an impact? If you’re ready to take the next step, discover what’s possible with LPL Financial. Responsibilities Service Management – Support Vice President and Regional Supervisory Principals with escalations while maintaining positive relationships with Advisors, Field Management, and internal departments. Engage and coordinate with Field Management and other internal departments to socialise concerns and escalated matters with senior leaders as needed. Strategic Projects and Initiatives – Lead departmental initiatives that create efficiencies, streamline processes, and improve risk mitigation capabilities that align with corporate goals. Production Management – Use metrics and reporting to monitor workload and staffing for designated regions, ensuring staff adheres to service level agreements. Strategise on approaches to build or change current processes/procedures, including required resources, compliance timelines, and effective supervision. Regulatory Interpretation – Interpret FINRA, SEC, and state regulations and develop and apply policies and procedures to mitigate risk and protect the firm. Communicate status and project outlines to management, set project direction, and lead initiatives while maintaining an overall vision. Senior Management Interaction – Interact appropriately and confidently with Senior Management. Key Contact – Serve as a key point of contact for Operations, Service Center, Legal, and other internal departments. Project Definition – Anticipate the needs of LPL Financial and the Supervision Department, define next steps with projects and other functions, and independently drive/execut​e projects. Regulatory Issue Identification – Identify specific regulatory issues, apply regulatory requirements, and provide advice on these rules. Create and maintain internal policies, controls, etc. Gap Reporting – Identify and report significant gaps in policy, procedure, and controls to management, offering corrective actions for consideration and implementation. Risk Mitigation – Identify problem areas, analyse risk for LPL Financial, and develop policy, procedure, and controls to effectively supervise and mitigate risk. What are we looking for? We want strong collaborators who can deliver a world‑class client experience. We are looking for people who thrive in a fast‑paced environment, are client‑focused, team‑oriented, and able to execute in a way that encourages creativity and continuous improvement. Requirements Undergraduate degree in Business, Accounting, Finance, or related discipline. 7–10 years of experience in supervision, compliance and/or regulatory matters. Series 7, 9 and 10 (or Series 24, 4 & 53); Series 66 (or S63 and S65). Core Competencies Work well under competing deadlines and possess strong organisational skills. Excellent oral and written communication skills. Strong industry acumen, self‑starter and ability to work independently. Ability to multitask, prioritise, problem‑solve, troubleshoot and follow‑up. Prioritise tasks and project management. Strong knowledge in all Microsoft applications, particularly Excel, Word, Access and PowerPoint. Preferences Prior leadership/team management experience preferred. Pay Range $111,800–$186,400 /year (actual base salary varies by skill, experience, education, internal peer base, performance and geography). LPL Total Rewards package is highly competitive, including 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. It supports over 29,000 financial advisors and the wealth‑management practices of 1,100 financial institutions, servicing and custodian approx. $1.9 trillion in brokerage and advisory assets on behalf of ~7 million Americans. LPL offers a wide range of advisor affiliation models, investment solutions, fintech tools and practice management services that give advisors and institutions the flexibility to run thriving businesses. For further information about LPL, visit www.lpl.com. Join LPL Financial: Where Your Potential Meets Opportunity At LPL Financial, we believe that everyone deserves objective financial guidance. We offer an integrated platform of cutting‑edge technology, brokerage and investment advisor services. Why LPL? Innovative Environment – We foster creativity and growth with a supportive and responsive leadership team. Limitless Career Potential – Your career at LPL has no limits. Unified Mission – One team, one mission – taking care of our advisors so they can take care of their clients. Impactful Work – Our size is just right for you to make a real impact. Commitment to Equality – We support workplace equality and embrace diverse perspectives. Community Focus – We care for our communities and encourage our employees to do the same. Benefits and Total Rewards – A mix of traditional and unique benefits, perks and resources to enhance your life at work and at home. Join the LPL team and help us make a difference by turning life’s aspirations into financial realities. 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. LPL will not request any form of payment from the applicant or information regarding an applicant’s bank or credit card. For questions regarding the application process, contact LPL’s Human Resources Solutions Center at (855) 575‑6947. Principals only. EOE. #J-18808-Ljbffr