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AVP, Project Management, Marketing Regulatory Review

Job ID: R-004706 Date posted: 11/26/2018 Primary Location SC-Fort Mill Other Locations CA-San Diego

The Assistant Vice President, Project Management, Marketing Regulatory Review role will work independently and is accountable for defining, planning, tracking and managing projects of varying scale and complexity.  They will also identify key resources and provide leadership to cross-functional teams while maintaining responsibility for delivering defined project outputs on time and that meet project quality criteria.  A high-level of attention to customer service is expected. The person who holds this position will help maintain our commitment to best practices in order to align with management/department goals:

  • Successful project implementation
  • A world-class customer experience
  • Improvement of core processes
  • Improved risk and control environment

Essential Functions:

  • Develop strong relationships and act as MRR PM, Work Stream PM or Project Coordinator throughout the project lifecycles to achieve the project goals and objectives
  • Select and organize project teams and establish clear roles and responsibilities and lines of communication
  • Ensures deadlines are met by facilitating resource planning, organizing, and prioritizing
  • Make sure regular project status/quality meetings are conducted and development of project metrics and project scorecard is accomplished
  • Keep management and key stakeholders well-informed on a timely basis on project progress, status and/or concerns for each assignment ensuring that expectations are met or exceeded.
  • Identify issues and ensure timely actions to resolve, including escalating when necessary
  • Ensure project documentation is complete, current, and stored appropriately
  • Work with managers and stakeholders to identify and document process gaps (e.g., as evidenced by recurring issues) and suggest solutions and approaches to remediate
  • Perform high level business analysis when needed
  • In addition to being highly organized, key qualifications of the ideal candidate include:
  • 5+ years of project management experience with proven ability to lead projects independently. CAPM/PMP/Lean Enterprise certifications are a plus.
  • A high level of integrity, earning the respect and trust of his/her peer groups and executives
  • Strong industry acumen, self-starter and the ability to work with minimal supervision
  • Strong communication skills a must – verbal and written
  • Personal confidence with outstanding leadership capabilities
  • Ability to collaborate and work across a large and highly matrixed organization and collaborate/influence as appropriate
  • Ability to work in a team environment, motivate team members and influence behavior of others
  • Exceptional interpersonal and partnership skills and the ability to positively influence outcomes, particularly in difficult matters
  • Highly motivated and able to adapt to changing priorities
  • Must be able to work independently, and work effectively with all levels of management
  • Superb efficiency in Microsoft Word, Excel, PowerPoint, and Visio
  • BA or BS/MBA preferred


  • Should hold 7 & 24 licenses
  • Financial Services experience or background
  • Experience  in advisor-facing or investor-facing technologies or business processes
  • Industry knowledge or certifications (e.g. CFP, CFA, CLU, ChFC)

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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