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

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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.

Qualifications:
  • 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

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LPL Financial Services - 20 months ago - save job - copy to clipboard
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