Assistant Vice President, Compliance
LPL Financial Services - Charlotte, NC

This job posting is no longer available on LPL Financial Services. Find similar jobs: Assistant Vice President jobs - LPL Financial Services jobs

Our AVP, OSJ Risk Review will involve all aspects of compliance support for a full service brokerage and investment advisory business.

Responsibilities include: managing a team of registered principles, creation of risk reporting that will assist with the daily supervision of trading activity and other activities of OSJ's branch office manager; researching and responding to regulatory inquiries and examinations; making effective use of information systems; overseeing and managing compliance supervision teams and ensuring that OSJ Branch Office Managers are meeting the standards and requirements set by regulatory agencies and the company; leading investigations of questionable sales activity, acting proactively to identify potential issues and leads staff initiatives to improve and streamline supervision procedures; and, performing other duties as assigned.

Candidate must be familiar with the SEC, MSRB and FINRA regulatory environment and requirements. Helpful experience or knowledge would include: regulatory agency or self-regulatory organization; branch office supervision; front office or back office of a brokerage firm or investment adviser; work in a regulatory, compliance or business capacity on capital markets matters and fixed income or equity trading desks; and/or understanding of alternative investments.

  • At least 3-5 years in Compliance Supervision Management
  • Prior examination or branch review or audit experience with securities regulator or in-house.
  • Bachelor's degree in business related field. Law degree a plus.
  • Series 7, 24, 63 and 65/or 66 Registrations required.
  • Series 3, 4, and 53 Registrations and Variable Life and Annuity Registrations a plus.
  • 5+ years previous securities compliance experience
  • Ability to provide input into the development of effective compliance systems
  • Ability to function cooperatively, provide leadership, and build consensus on compliance issues among managers, employees and representatives
  • Ability to formulate and implement departmental strategies
  • Excellent oral and written communication skills
  • Excellent management, and human relations skills
  • Strong mentoring skills
  • Knowledge of FINRA, SEC, MSRB and State rules and regulations
We offer a competitive salary and benefits package. Please login or create an account to apply to this position. Principals only. EOE

Go back to the welcome page

Need further assistance?

Applicant Tracking Software

LPL Financial Services - 20 months ago - save job - copy to clipboard
About this company
17 reviews