AVP, Regional Lead

Assistant Vice President Manager

At LPL Financial, we empower professionals to shape their success while helping clients pursue their financial goals with confidence. We are looking for an Assistant Vice President Manager to provide operational and day-to-day support of the LPL IAN Supported Affiliation Model 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 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 include service management, strategic projects and initiatives, production management, regulatory compliance, and communication with senior management. The AVP will also engage with internal departments to socialize concerns and escalated matters with senior leaders as needed. 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.

We are looking for 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 are able to execute in a way that encourages creativity and continuous improvement. Requirements include an undergraduate degree in Business, Accounting, Finance, or related discipline, a minimum of 7-10 years' experience in supervision, compliance and / or regulatory matters, and core competencies such as excellent oral and written communication skills, strong industry acumen, and the ability to work well under competing deadlines.

Pay range is $111,800-$186,400 / year, with a competitive LPL Total Rewards package that includes 401K matching, health benefits, employee stock options, paid time off, volunteer time off, and more.

LPL Financial Holdings Inc. is among the fastest growing wealth management firms in the U.S. As a leader in the financial advisor-mediated marketplace, LPL supports over 29,000 financial advisors and the wealth-management practices of 1,100 financial institutions, servicing and custodying approximately $1.9 trillion in brokerage and advisory assets on behalf of approximately 7 million Americans.

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