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AVP, Regulatory Inquiries & Strategy

Job ID: R-007407 Date posted: 08/21/2019 Primary Location SC-Fort Mill

This position involves the management of high-profile regulatory enforcement matters. AVP Regulatory Analysts serve a critical role in the Regulatory Inquiries & Strategy group, partnering with an enforcement attorney preparing regulatory responses.  The person in this position will investigate, draft, coordinate and file responses to inquiries received from regulators, interface directly with regulators, home office and branch office staff, and financial advisors during the course of matters.

The AVP will also lead a team of more junior analysts and support personnel. The AVP will interact directly with regulators and financial advisors during the course of these matters, as well as regular collaboration with LPL Financial business units and the team’s attorneys. The AVP position involves a focus on broker-dealer and investment advisor sales practice and compliance issues.

The candidate should have a strong understanding of broker-dealer and investment advisor regulations, securities laws, and compliance policies and procedures. The AVP serves a critical role in the RIS team and will be expected to work independently.


Essential Functions:

  • Respond to regulatory inquiries; this involves effectively communicating with various departments at the firm to collect the necessary information, analyzing the information thoroughly, researching relevant rules and regulations, and preparing the written analysis and regulatory responses.
  • Effectively communicate with attorneys and other team members throughout the lifecycle of a matter and escalate concerns in real time.
  • Provide critical thinking by skillfully conceptualizing, applying, analyzing, synthesizing, and/or evaluating information gathered in the course of a regulatory matter.
  • Partner with the regulatory attorney to prepare root cause assessments, identify and partner to assess potential corrective actions. 
    • Deliver consistently high quality work product and analysis.
    • Serve as liaison for branch exams conducted by regulators.
    • Assist financial advisors with regulatory exams, and provide regulators with requested information.
    • Serve as a liaison for FINRA, SEC, state, and other regulatory exams.
    • Assist firm employees in preparing for the exam, and support them throughout the exam process.
    • Collect, analyze, and provide documents requested by the regulators.
    • Keep the regulatory team informed of issues that impact the organization, and advise on appropriate resolutions.
    • Keep abreast of, analyze, and understand regulatory requirements and compliance procedures.

Qualifications/Expectations:

  • Bachelor's degree and/or 7+ years of regulatory experience, which is defined as significant experience working in the brokerage or investment advisory industry and handling compliance issues
  • Ability to properly interpret and analyze regulatory and compliance issues
  • Thorough understanding of brokerage and investment advisor operations and compliance processes
  • Exceptional oral and written communication skills and the ability to independently draft letters and other documents
  • Strong analytic and organizational skills and the ability to keep track of multiple deadlines and projects
  • Ability to work independently and proactively
  • The ability to think holistically about processes that impact clients and the firm.
  • Ability to travel on occasion as needed

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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Area(s) of InterestChoose at least one job category and/or location.

  • Compliance, Fort Mill, South Carolina, United StatesRemove