AVP, Regional Supervisory Principal

Assistant Vice President

At LPL Financial, we empower professionals to shape their success while helping clients pursue their financial goals with confidence. You could have access to cutting-edge resources, a collaborative environment, and the freedom to make an impact.

The Assistant Vice President is responsible for providing day-to-day and consultative supervision support to one of the firm's elite practices, Financial Resources Group. This position will be responsible for the holistic supervision of assigned advisors, and responsible for resolving escalated, complex issues received by the supporting supervisory team. This role will also be responsible for maintaining ongoing relationships with advisors by acting as a main point of contact to educate, guide, and assist them with maintaining a compliant business.

Additionally, the Assistant Vice President is responsible for leading strategic projects as defined by the senior management team and collaborating with management at all levels throughout the firm. This individual will work closely with leadership from our Field Management team, which serves as the business owner of the FRG Institutions model.

The Assistant Vice President will engage and coordinate with the Field Management team and other internal departments to socialize concerns and escalated matters with senior leaders as needed. Strategize with management on approach to build or change current processes / procedures, including resource needs, requirements with which to comply, timeline for implementation, and ways with which to actively supervise these processes.

Responsibilities :

Develop and maintain a deep understanding of each office's business and Field Management Structure

Serve as a key contact for internal departments, such as Field Management, Operations, Service Center, and various departments across Compliance, Legal and Risk (CLR).

Strong soft skills and ability to provide exceptional service while maintaining positive relationships to HOS advisors, OSJ Managers and support staff

Identify specific regulatory issues, the application of regulatory requirements, provide proactive consultative guidance 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 solution oriented corrective actions for consideration and implementation.

Engages in regular supervisory office check-ins with assigned advisors and branches in order to promote company supervisory practices, follow up on audit findings and proactively addressing potential compliance issues to minimize risk to the client, the branch and the firm.

Identifies suspicious patterns in sales and business practice. Conducts investigations and appropriate corrective action, as needed, in collaboration with supervision management and other internal business units.

Assist with regulatory exams and requests as well as assist with other internal investigations and reviews relative to supervised advisors and branches.

Partner with the Transition team on onboarding and training of new advisors and branches on supervisory-related policy and procedure.

Interact directly with Field Management Business Partners at all levels.

Exercise additional judgement as it relates to the nuances of the FRG Institutions model and risk / liability to LPL.

What Are We Looking For?

We're looking for strong collaborators who deliver exceptional client experiences and thrive in fast-paced, team-oriented environments. Our ideal candidates pursue greatness, act with integrity, and are driven to help our clients succeed. We value those who embrace creativity, continuous improvement, and contribute to a culture where we win together and create and share joy in our work.

Requirements :

7+ years of experience in supervision, compliance and / or regulatory matters

Series 7, 9 and 10 (or Series 24, Series 4 & 53) and Series 66 (or 63 and 65) are required.

Core Competencies :

Strong industry acumen, self-starter, and the ability to work independently.

Ability to multi-task, prioritize, problem solve, troubleshoot, and follow-up is essential in this role.

Must work well under competing deadlines and possess strong organizational skills.

Excellent oral and written communication skills.

Focus on delivering great customer service and accurate information.

Excellent management, and human relations skills

Ability to interact appropriately and confidently with Senior Management.

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.

Preferences :

Prior leadership / team management experience preferred.

Experience leading advisors and / or branch management experience preferred.

Undergraduate degree in Business, Accounting, Finance, or related discipline preferred.

Pay Range : $101,625-$169,375 / 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!

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.

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.