AVP- Policy and Regulation Change ManagementApply Job ID: R-024370 Date posted: 07/29/2022 Primary Location SC-Fort Mill Other Locations CA-San Diego
Are you a team player with a growth mindset? Are you interested in working in meaningful projects? Do you want to work with cutting-edge technology? Are you interested in being part of a team that is working to transform and do things differently? If so, LPL Financial is the place for you!
LPL Financial (Nasdaq: LPLA) was founded on the principle that the firm should work for the advisor, and not the other way around. Today, LPL is a leader* in the markets we serve, supporting more than 18,000 financial advisors, 800 institution-based investment programs and 450 independent RIA firms nationwide. We are steadfast in our commitment to the advisor-centered model and the belief that Americans deserve access to personalized guidance from a financial advisor. At LPL, independence means that advisors have the freedom they deserve to choose the business model, services, and technology resources that allow them to run their perfect practice. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors, so they can take care of their clients.
LPL is currently seeking an Assistant Vice President (AVP), Policy Management. This position will be part of the Product and Platform Compliance team within the Compliance, Legal and Risk (CLR) organization.
The ideal candidate will have strong oral and written communication skills and an eye for efficiency.
Governance of Firm’s policy management function including business unit adherence to the Policy on Policies including training of business units.
Administration of firm Compliance Manuals and Written Supervisory Procedures.
Collaboration with business partners across CLR and the Firm to identify and track policies that may require updates
Assist in the design of policies, procedures and training related to new or evolving policy areas
Work with senior management to manage the Policy Approval Group and the Regulatory Intelligence Oversight Committee
Oversee the firm’s Regulatory Change Management process including collaborative work with the Government Relations Department
Interact with business leaders to help solve issues, improve advisor experience, and maintain a compliant and efficient growth environment as it relates to policies and regulatory changes
Promote a culture of high performance and continuous business process improvement that values learning and a commitment to quality, and drives efficiency using a proactive and anticipatory approach resulting in an enhanced advisor experience.
Interact and collaborate with the CLR management team, Legal, business leaders, regulators and government agencies and industry associations
Develop the monthly Compliance Alert and other policy related communications
Bachelor’s degree required; JD, MBA a plus
Securities registration preferred
Minimum of 6+ years relevant experience
Ability to excel in a deadline driven environment
Problem solving skills that enable efficient identification of issues; structuring and execution of analysis; development of actionable recommendations; and implementation of those recommendations
Operates in a team environment with a focus on employee satisfaction
Self-reliant, results oriented
At LPL, we believe that objective financial guidance is a fundamental need for everyone. As the nation’s leading independent broker-dealer, we offer an integrated platform of proprietary technology, brokerage, and investment advisor services. We provide you with a work environment that encourages your creativity and growth, a leadership team that is supportive and responsive, and the opportunity to create a career that has no limits, only amazing potential.
We are one team on one mission. We take care of our advisors, so they can take care of their clients.
Because our company is not too big and not too small, you can seize the opportunity to make a real impact. We are committed to supporting workplace equality, and we embrace the different perspectives and backgrounds of our employees.We also care for our communities, and we encourage our employees to do the same. This creates an environment in which you can do your best work.
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Join the LPL team and help us make a difference by turning life’s aspirations into financial realities. Please log in or create an account to apply to this position. Principals only. EOE.
Information on Interviews:
LPL will only communicate with a job applicant directly from an @lplfinancial.com email address and will never conduct an interview online or in a chatroom forum. During an interview, LPL will not request any form of payment from the applicant, or information regarding an applicant’s bank or credit card. Should you have any questions regarding the application process, please contact LPL’s Human Resources Solutions Center at (800) 877-7210.