Regional AVP, Supervision

🕒 May 7

🌲 North Carolina – Remote

🌲 North Carolina – Remote

💵 $104.6k - $174.5k / year

⏰ Full Time

🔴 Lead

👔 Vice President

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LPL Financial

WebsiteLinkedInAll Job Openings

5001 - 10000 employees

Founded LPL Financial

💸 Finance

💳 Fintech

Finance • Fintech

LPL Financial is a leading provider of wealth management services, supporting financial professionals, institutions, and individual investors. With a comprehensive suite of tools and resources, LPL Financial enables advisors to build their businesses and provide personalized financial advice. They offer a wealth management platform, consulting services, technology integration, investment research, and support for both organic and inorganic growth for businesses and advisors. LPL Financial also focuses on sustainable investing and social responsibility while maintaining robust regulatory oversight.

📋 Description

• Responsible for providing operational and day-to-day support of the Supervision VP • Lead strategic projects and act as liaison between assigned regions and various stakeholders • Support Vice President and regional supervisory teams with escalations • Engage and coordinate with Business Consultants and internal departments • Monitor workload and staffing for designated regions to ensure compliance with service level agreements • Analyze risk for LPL Financial and develop policies and controls to mitigate said risk

🎯 Requirements

• Undergraduate degree in Business, Accounting, Finance, or related discipline • A minimum of 7+ years experience in supervision, compliance and/or regulatory matters • Series 7, 9 and 10 (or Series 24); Series 66 (or S63 and S65) • Must have the ability to manage competing deadlines and possess strong organizational skills • Oral and written communication skills • Industry acumen, self-starter and the ability to work independently • Knowledge in all Microsoft applications; particularly, Excel, Word, Access, and PowerPoint

🏖️ Benefits

• 401K matching • health benefits • employee stock options • paid time off • volunteer time off