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AVP, Compliance

Job ID: R-004813 Date posted: 11/01/2018 Primary Location CA-San Diego Other Locations SC-Fort Mill

Advisor Review – Assistant Vice President

The Advisor Review Assistant Vice President is responsible for the administration of Advisor Review Analysts engaged in the Supervision of Onboarding Advisors and the review of Outside Business Activities.

The Advisor Review Assistant Vice President leads and develops a team of Analysts who are responsible for the review of high risk representatives wishing to join LPL Financial as well as analysts who are responsible for the review of Outside Business Activities and Private Securities Transactions. Additionally, the Assistant Vice President works closely with other internal departments to strategically execute on key initiatives to stay competitive in our onboarding process with other competing firms. This position will also include responsibility for leading special projects as defined by the management team and collaborating with employees at all levels throughout the firm.

Specific areas of responsibility include, but are not limited to:

  • Staff Management - Responsible for hiring, training, motivating, and managing staff. The AVP will conduct staff meetings, team meetings, and one on one meetings in addition to goal setting and conducting employee evaluations including, but not limited to, quality control and task oversight.
  • Service Management – Must handle escalations and maintain positive relationships with clients and internally throughout the firm.
  • Production Management – Must ensure staff adheres to service level agreements. Strategize on approach to build or change current processes / procedures, including resources needed, requirements with which to comply, timeline for implementation, and ways with which to actively supervise these processes.
  • Risk Management – Utilizes risk based reporting to identify and ensure appropriate investigation/review of onboarding advisors as well as the risks associated with outside business activity reviews. Understand and interpret rule requirements and the impact of their changes, updated policies and procedures, and the business needs of LPL, our advisors, and other departments.
  • 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. Must be able to communicate status and project outline to management and set the specific direction of a project, lead, and maintain an overall vision of the initiative/project


  • Undergraduate degree in Business, Accounting, Finance or related discipline preferred
  • A minimum of 6-8 years’ experience in supervision, compliance, and/or regulatory matters.
  • Licenses/Certifications Required/Preferred: Series 7, Series 24
  • Prior leadership/team management experience preferred
  • Strong industry acumen, self-starter and the ability to work independently
  • Ability to multi-task, prioritize, problem solve, trouble shoot and follow-up are essential in this role
  • Must work well under competing deadlines and possess strong organizational skills
  • Excellent oral and written communication skills
  • Strong knowledge in all Microsoft applications; particularly, Excel, Word, Access, and PowerPoint
  • Familiarity with Salesforce a plus

Other Job Duties:

  • Ability to work in a fast paced/high volume environment and be flexible with work schedule
  • Knowledge of FINRA SEC, and state rules and regulations
  • Ability to multi-task, strong attention to detail, excellent problem-solving and follow-up skills are essential for this position
  • Interact appropriately and confidently with Senior Management.
  • Serve as a key contact for internal departments, such as New Client Onboarding, Service Center, Business, and various departments across Compliance, Legal and Risk (CLR).
  • Ability to make regulatory and risk-based decisions will be necessary to complete the day-to-day functions of the role
  • Identify and report significant gaps in policy, procedure and controls to management, while offering corrective actions for consideration and implementation.

About LPL Financial:

LPL Financial is a leader in the retail financial advice market and the nation’s largest independent broker/dealer*. We serve independent financial advisors and financial institutions, providing them with the technology, research, clearing and compliance services, and practice management programs they need to create and grow thriving practices. LPL enables them to provide objective guidance to millions of American families seeking wealth management, retirement planning, financial planning and asset management solutions. LPL and its affiliates have more than 3,700 employees with primary offices in Boston, Charlotte, and San Diego.

Our Culture:

If you join LPL, you will join a culture that believes in delivering a world-class client experience and looks to all employees to contribute to that goal by sharing their creativity, experience, and passion for continuous improvement. As a destination of choice, our top priorities are growth and development, social responsibility, and financial health for our employees. 

We offer competitive compensation and industry leading benefits, including a wellness facility with onsite fitness classes, healthy meal choices, and a walk-in clinic. We support employee financial health through a 401k match, ESPP, and employee discounts. Work/life balance is our foundation and is supported through paid holidays, and paid time off (including time to volunteer). We foster a diverse work environment through Employee Resource Groups and diverse strategic partnerships.  

Join the LPL team and help us make a difference by turning life’s aspirations into financial realities. Please login or create an account to apply to this position. Principals only. EOE

*As reported by Financial Planning magazine, June 1996-2017, based on total revenue.

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