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

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Our Assistant Vice President, Supervision is responsible for overseeing Managers and Registered Principals serving as the Branch Office Manager in a corporate supervisory role for LPL Financial Advisors. This position will be responsible for ensuring that the Department of IAS Supervision is meeting the standards and requirements of supervision set forth by regulatory agencies and the Firm.

Essential Functions :

1. Managing Managers and a team of Supervisory Principals who perform daily supervision of Independent Financial Advisors. Responsibilities will also include hiring, training and providing ongoing mentoring to staff.

2. Researching and responding to internal and regulatory inquiries and examinations

3. Development and on-going maintenance of written supervisory and desktop procedures; preparing and conducting compliance training presentations; and resource planning

4. Analysis and quality control over various processes, strategic planning and discussions with other Governance, Risk and Compliance (GRC) AVPs and leadership on topics such as regulatory changes and requirements, service standards, employee engagement and firm-wide initiatives

Other Job Duties:

1. Serve as a go-to resource for Senior Management, peers and Advisors/OSJ’s

2. Independently prepare reports and presentations for Senior Compliance Management and various departments within the Firm

3. Some travel may be required to conduct branch office visits and attend regulatory and Firm conferences as needed

4. Perform other duties as assigned

Qualifications:
  • Bachelor's degree in business related field, Advanced degree a plus
  • 6+ years industry experience and 3+ years Compliance Management experience
  • Series 7, 24, 63 and 65 (or 66) required
  • Series 53 required or ability to obtain within 90 days
  • Series 3, 4, and/or 27 a plus
  • Life and Health Insurance License a plus
  • All Microsoft applications, particularly, Excel, Word, Access, PowerPoint, and Visio
  • Familiarity with BETA a plus
  • Ability to work in a fast paced/high volume environment and be flexible with work schedule
  • Ability to multi-task, strong attention to detail, excellent problem-solving and follow-up skills are essential for this position
  • Excellent oral and written communication skills
  • Ability to make regulatory and supervisory-based decisions will be necessary to complete the day-to-day functions of the role and for staff support in their role as Branch Office Manager
  • Strong mentoring skills
  • Proactive collaboration and service-based responses with business partners on escalated issues and concerns is essential
  • Excellent management, and human relations skills
  • Ability to develop compliance systems and strategies for effective supervision
  • Knowledge of mutual funds, annuities, general securities, and other financial products required
  • Knowledge of FINRA SEC, 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 - 19 months ago - save job
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