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Regional Assistant Vice President of Supervision

2 months ago

Fort Mill, South Carolina, United States LPL Financial Holdings, Inc. Full time
Position Overview:

The Regional Assistant Vice President (AVP) of Supervision plays a pivotal role in supporting the operational framework of the Supervision Vice President. This position is essential for ensuring that supervisory functions are executed effectively within designated regions. The AVP will also lead strategic initiatives as directed by senior leadership and serve as a crucial link between their regions and various firm stakeholders, providing valuable insights and support on risk and supervision matters.

Key Responsibilities:
  • Service Management: Collaborate with the Vice President and regional supervisory teams to address escalations while fostering positive relationships with Advisors and Field Leadership. Engage with Business Consultants and internal departments to communicate concerns and escalate issues to senior management as necessary.
  • Strategic Initiatives: Lead departmental projects aimed at enhancing efficiencies, streamlining operations, and improving risk management capabilities in alignment with corporate objectives.
  • Production Oversight: Monitor workload and staffing metrics for assigned regions to ensure compliance with service level agreements. Work with management to develop or modify existing processes, including resource requirements and implementation timelines.
  • Regulatory Compliance: Interpret and apply FINRA, SEC, and state regulations to develop and enforce policies and procedures that mitigate risk and safeguard the firm. Communicate project statuses and outlines to management while maintaining a clear vision for initiatives.
  • Internal Liaison: Act as a primary contact for various internal departments, including Operations and Client Success, ensuring effective communication and collaboration.
  • Proactive Engagement: Anticipate the needs of LPL Financial and the Client Success organization to define project next steps and independently drive project execution.
  • Policy Development: Identify regulatory issues and provide guidance on compliance, creating and maintaining internal policies and controls.
  • Gap Analysis: Report significant policy and procedural gaps to management, offering actionable recommendations for improvement.
  • Risk Assessment: Analyze potential risks to LPL Financial and develop effective policies and controls to supervise and mitigate these risks.
Ideal Candidate Profile:

The ideal candidate will be a strong collaborator dedicated to delivering exceptional client experiences. We seek individuals who thrive in dynamic environments, are client-focused, team-oriented, and capable of fostering creativity and continuous improvement.

Qualifications:
  • Undergraduate degree in Business, Accounting, Finance, or a related field.
  • 7-10 years of experience in supervision, compliance, or regulatory roles.
  • Possession of Series 7, 9, and 10 (or Series 24); Series 66 (or S63 and S65) licenses.
Core Competencies:
  • Ability to work effectively under tight deadlines with strong organizational skills.
  • Excellent verbal and written communication abilities.
  • Strong industry knowledge, self-motivation, and independence.
  • Capability to manage multiple tasks, prioritize effectively, and troubleshoot issues.
  • Proficiency in Microsoft applications, particularly Excel, Word, Access, and PowerPoint.
Preferred Qualifications:
  • Previous leadership or team management experience is advantageous.
Compensation:
The pay range for this position is competitive and commensurate with experience and qualifications. LPL Financial offers a comprehensive Total Rewards package designed to support employee success both professionally and personally, including benefits such as 401K matching, health coverage, employee stock options, and paid time off.

Why Choose LPL Financial?

At LPL, we believe in the importance of objective financial guidance for everyone. As a leading independent broker-dealer, we provide an integrated platform of technology, brokerage, and advisory services. Our work environment fosters creativity and growth, supported by a responsive leadership team. Join us in making a meaningful impact in the financial industry.