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Vice President, Regulatory Reporting

Job ID: R-015508 Date posted: 06/09/2021 Primary Location SC-Fort Mill Other Locations KS-Remote , CA-Remote , CA-San Diego

LPL Financial is one of the nation's leading financial services companies and a publicly traded company under ticker symbol LPLA.  We support over 18,000 financial professionals—including over 14,000 independent advisors, more than 700 financial institutions, and over 4,000 institutional clearing and technology subscribers. We enable advisors to focus on their clients by reducing the complexity of running their practice and we support their business by offering enabling technology, comprehensive clearing and compliance services, practice management programs and training, and independent research. At LPL, we take care of our advisors, so they can take care of their clients. And Technology is at the center of our mission.

Job Overview:

The Vice President of Regulatory Reporting plays a critical role in monitoring the firm’s capital adequacy and compliance with financial regulations.  The position is responsible for the preparation of all regulatory reports for different companies within the firm, and submission to regulatory agencies. Includes weekly, monthly, quarterly and annual reports. The position requires a good working relationship with regulatory agency contacts with whom the VP will provide support for any exams or questions.  In addition, the VP of Regulatory Reporting works closely with Controllership, Treasury, Operations, Legal and IT departments.


  • Oversight and preparation of the Customer Reserve calculation (SEA Rule 15c3-3)

  • Preparation of monthly FOCUS report (SEA Rule 15c3-1)

  • Oversight and preparation of additional filings required by regulatory agencies, including the Federal Reserve, OCC, SEC, Dept. of Commerce and various other agencies

  • Stay informed of regulatory changes, interpret those changes into reporting requirements, and partner with business areas to implement processes to gather and report data

  • Respond to ad-hoc reporting requests

  • Serve on working committees or project teams as assigned, providing advice and guidance as subject matter expert

  • Oversee and coordinate regulatory exams information requests

What are we looking for?

We want strong collaborators who can deliver a world-class client experience. We are looking for people who thrive in a fast-paced environment, are client-focused, team oriented, and are able to execute in a way that encourages creativity and continuous improvement.


  • FINRA Series 27

  • Undergraduate degree in Accounting or Finance, Masters degree preferred

  • Professional certification such as CPA preferred

  • Working knowledge of SEC rules and regulations, primarily SEA Rule 15c3-1 and SEA Rule 15c3-3

  • 7 to 10+ years’ experience in SEC broker dealer regulatory reporting

  • 3+ years of Leadership experience

  • Should have some knowledge of brokerage operations and be familiar with stock brokerage accounting

  • Advanced skills in Microsoft Office Suite: Excel, VB, Access, PowerPoint; ability to model and create complex spreadsheets

  • Strong written and oral communication skills

  • Strong teamwork ethic and organizational skills

  • Pro-active/results oriented work ethics

Why LPL? 

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.

Want to hear from our employees on what it’s like to work at LPL?  Watch this!

We take social responsibility seriously. Learn more here

Want to see info on our benefits?  Learn more here

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 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.

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