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VP, Regulatory Examinations and Inquiries

Job ID: R-004941 Date posted: 11/20/2018 Primary Location CA-San Diego Other Locations SC-Fort Mill

At LPL Financial, we are currently in search of a Vice President to join our Regulatory Examinations and Inquiries team, which sits within our Compliance, Legal, and Risk (CLR) function.

The Regulatory Examinations and Inquiries team (“REI”) is responsible for responding to a broad range of regulatory examinations and inquiries, such as SEC, FINRA and state securities division examinations, sweep requests, and other inquiries. The successful candidate will manage a variety of regulatory matters, including serving as the principal point of contact, both internally and with regulators, and supervising other REI staff.  Additional responsibilities will include serving on various firm committees, task forces, and initiatives with a view to providing advice relating to regulatory issues; coordinating with the Firm’s Legal Department on complex matters; and coordinating with other areas of the Firm.

Securities regulatory experience is strongly preferred. Attorneys are encouraged to apply but a legal background is not required.

Essential Functions:

  • Manage regulatory examinations and inquiries involving the Firm and/or its associated persons.  Evaluate legal and regulatory risk and exposure, coordinate and prepare written responses and productions, interact with advisors and supervisors, and communicate with regulators.
  • Provide timely risk assessments and status updates on regulatory matters for senior management.
  • Advise internal departments about risk areas and provide guidance regarding Firm procedures and regulatory requirements.
  • Participate in standing and ad hoc Firm committees and task forces.
  • Stay abreast of regulatory developments and initiatives; maintain current knowledge through monitoring of industry related periodicals and other publications.

Job Qualifications:

  • Minimum of 5 years of securities regulatory experience; prior employment with a federal, state or SRO securities regulator is highly desirable.
  • Proven ability to multi-task.
  • Clear communication and excellent writing skills.
  • 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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