Regional Lead

LPL Financial•Charlotte, NC

About The Position

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.

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

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.
Engage and coordinate with Business Consultants and other internal departments to socialize concerns and escalated matters with senior leaders as needed.
Focus on leading departmental initiatives that create efficiencies, streamline processes, and improve risk mitigation capabilities that align with corporate goals.
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.