LPL Financial
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.
5001 - 10000 employees
Founded LPL Financial
đź’¸ Finance
đź’ł Fintech
AVP, Regional Lead
Job not on LinkedIn
November 2
🇺🇸 United States – Remote
đź’µ $101.6k - $169.4k / year
⏰ Full Time
đźź Senior
đź‘” Vice President
🦅 H1B Visa Sponsor
LPL Financial
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.
5001 - 10000 employees
Founded LPL Financial
đź’¸ Finance
đź’ł Fintech
đź“‹ Description
• Will be responsible for supporting Vice President and Regional Supervisory Principals with escalations • The AVP will engage and coordinate with Field Management and other internal departments • The AVP will focus on leading departmental initiatives that create efficiencies • Through metrics and reporting, will monitor workload and staffing for designated regions • Identify specific regulatory issues, the application of regulatory requirements
🎯 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) • Must possess the ability to interpret FINRA, SEC, and state regulations • Strong 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
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