AVP, Regional Lead

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.

The Assistant Vice President Manager (AVP) will be responsible for providing 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 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.

A successful candidate will assist the supervisors in their regions with escalations while maintaining positive relationships with advisors and key stakeholders and socialize concerns and escalated matters with senior leaders, as needed. In addition, an ideal candidate should focus on leading department initiatives that create efficiencies, streamline processes, and improve risk mitigation capabilities that align with firm and Supervision Department goals. The AVP will review and apply data and metrics to drive efficiencies, minimize backlog, assess resourcing needs, and implement generally healthy management routines for their regions.  The AVP is responsible for providing operational and day-to-day support to the Vice President and a team of supervisory principals.

Responsibilities:

• Service Management – Will be responsible for supporting Vice President and Regional Supervisory Principals with escalations while maintaining positive relationships with Advisors, Field Management and internally throughout the firm. The AVP will engage and coordinate with Field Management and other internal departments to socialize concerns and escalated matters with senior leaders as needed
• Strategic Projects and Initiatives – The AVP will focus on leading departmental initiatives that create efficiencies, streamline processes, and improve risk mitigation capabilities that align with corporate goals
• Production Management – Through metrics and reporting, will monitor workload and staffing for designated regions to ensure staff adheres to service level agreements. Strategize 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, Legal and various departments across the firm
• Anticipate the needs of LPL Financial and the Supervision Department 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

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 are able to execute in a way that encourages creativity and continuous improvement.

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, 4 & 53); Series 66 (or S63 and S65)

Core Competencies:

• Must work well under competing deadlines and possess strong organizational skills
• Excellent oral and written communication skills
• Strong industry acumen, self-starter and the ability to work independently
• Ability to multi-task, prioritize, problem solve, troubleshoot and follow-up are essential in this role
• Prioritize 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 based on factors, including but not limited to, relevant skill, prior experience, education, base salary of internal peers, demonstrated performance, and geographic location. Additionally, LPL Total Rewards package is highly competitive, designed to support your success at work, at home, and at play – such as 401K matching, health benefits, employee stock options, paid time off, volunteer time off, and more. Your recruiter will be happy to discuss all that LPL has to offer!
 

Company Overview:

LPL Financial Holdings Inc. (Nasdaq: LPLA) 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 institution, servicing and custodying approximately $1.9 trillion in brokerage and advisory assets on behalf of approximately 7 million Americans. The firm provides a wide range of advisor affiliation models, investment solutions, fintech tools and practice management services, ensuring that advisors and institutions have the flexibility to choose the business model, services, and technology resources they need to run thriving businesses.

At LPL, independence means that advisors and institution leaders have the freedom they deserve to choose the business model, services, and technology resources that allow them to run a thriving business. They have the flexibility to do business their way. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors and institutions, so they can take care of their clients.

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

Join LPL Financial: Where Your Potential Meets Opportunity

At LPL Financial, we believe that everyone deserves objective financial guidance. As the nation’s leading independent broker-dealer, we offer an integrated platform of cutting-edge technology, brokerage, and investment advisor services.

Why LPL?

• Innovative Environment: We foster creativity and growth, providing a supportive and responsive leadership team. Learn more about our leadership team here!

• Limitless Career Potential: Your career at LPL has no limits, only amazing potential. Learn more about our careers here!

• Unified Mission: We are one team on one mission—taking care of our advisors so they can take care of their clients. Learn more about our mission and values here!

• Impactful Work: Our size is just right for you to make a real impact. Learn more here!

• Commitment to Equality: We support workplace equality and embrace diverse perspectives and backgrounds. Learn more here!

• Community Focus: We care for our communities and encourage our employees to do the same. Learn more here!

• Benefits and Total Rewards: Our Total Rewards package goes beyond just compensation and insurance. It includes a mix of traditional and unique benefits, perks, and resources designed to enhance your life both at work and at home. Learn more here!

Join the LPL team and help us make a difference by turning life’s aspirations into financial realities. Please log in or create an account to apply to this position. Principals only. EOE.

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.  During an interview, LPL will not request any form of payment from the applicant, or information regarding an applicant’s bank or credit card.  Should you have any questions regarding the application process, please contact LPL’s Human Resources Solutions Center at (855) 575-6947.

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