Regional Lead

LPL Financial•Fort Mill, SC

1d•$104,648 - $174,482•Onsite

About The Position

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.

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)
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

Nice To Haves

Prior leadership/team management experience preferred
Experience using AI tools
Project management experience

Responsibilities

Supporting Vice President and regional supervisory teams with escalations while maintaining positive relationships with Advisors, OSJ Managers and internally throughout the firm.
Engaging and coordinating with Business Consultants and other internal departments to socialize concerns and escalated matters with senior leaders as needed.
Leading departmental initiatives that create efficiencies, streamline processes, and improve risk mitigation capabilities that align with corporate goals.
Monitoring workload and staffing for designated regions to ensure staff adheres to service level agreements.
Strategizing 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.
Interpreting FINRA, SEC, and state regulations and developing and applying policies and procedures within the scope of the current regulatory environment to mitigate risk and protect the firm.
Communicating status and project outline to management and setting the specific direction of a project, leading and maintaining an overall vision of the initiative/project.
Interacting appropriately and confidently with Senior Management.
Serving as a key contact for internal departments, such as Operations, Service Center, and various departments across Client Success.
Anticipating the needs of LPL Financial and the Client Success organization to define next steps with projects and other functions and independently driving/executing projects.
Identifying specific regulatory issues, the application of regulatory requirements, and providing advice on these rules and creating and maintaining internal policies, controls, etc.
Identifying and reporting significant gaps in policy, procedure and controls to management, while offering corrective actions for consideration and implementation.
Identifying problem areas, analyzing risk for LPL Financial and developing policy, procedure and controls to effectively supervise and mitigate said risk.