Regional AVP, Supervision

Job 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
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