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AVP, Regulatory Operations Reporting

Job ID: R-002574 Date posted: 04/11/2018 Primary Location CA-San Diego Other Locations SC-Fort Mill

This position is responsible for working with the VP of Service, Trading, and Operations Risk Management (STO RM) in the daily management of various non-financial regulatory reporting activities. This entails working closely with various operational and service units throughout STO to ensure accurate and timely data reporting. The role also requires the individual to implement and train managers on both new and existing reporting routines consistent with a rapidly evolving regulatory environment.

Responsibilities Include:

  • Oversee daily regulatory reporting processes and compliance with internal or regulatory initiatives including but not limited to EBS, OATS, ACT, TRACE, ORF and the new CAT requirement.
  • Hire and train qualified teammates to perform the various reporting activities.
  • Stay informed of regulatory changes, interpret those changes into reporting requirements, and partner with business areas to implement processes to gather and report data
  • Develop and maintain tracking metrics for management reporting, escalation and review.
  • Maintain control documentation needed for the various internal, external and regulatory reviews.
  • Maintain and enhance a proactive relationship with business partners across LPL, including Compliance, Legal, Audit, Trading , Service and Operations

Desired Skills and Experience include:

  • 5 to 7+ years’ experience in SEC broker dealer regulatory capacity with extensive background of equity trade flow from executions to settlement.
  • Working knowledge of broker dealer regulatory non-financial reporting requirements including but not limited to EBS, OATS, ACT, TRACE and ORF. 
  • Knowledge of control environment for SOX, SSAE18, FICCA, and 17a-5.
  • Ability to manage and lead effectively in an ever-changing environment (both corporate and regulatory).
  • Ability to work independently and communicate effectively across various levels throughout the organization.
  • Have excellent analytical skills and the ability to consult and resolve issues related to data extraction, validation, and report generation.
  • Licenses/Certifications Preferred: Series 99, 7, 24, 63 and 65 (66) preferred.
  • All Microsoft applications, particularly, VISIO, WORD, ACCESS, PowerPoint and Excel.

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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