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Assistant Vice President, Regulatory Examinations - Litigation & Regulatory Experience Required

Job ID: R-001098 Date posted: 01/23/2018 Primary Location CA-San Diego

At LPL Financial, we are currently looking for an Assistant Vice President, Regulatory Examinations and Inquiries to join our Regulatory Examinations and Inquiries Team, which sits within our Compliance, Legal, and Risk (CLR) function. This position will be located at our San Diego office.

The Regulatory Examinations and Inquiries Team is primarily responsible for responding to a broad range of regulatory examinations and other inquiries, such as SEC, FINRA and state securities division examinations, sweep requests, and other inquiries. 

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 as to scope and content of productions and responses.
  • Provide timely risk assessments and status updates of regulatory matters for executive 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 practice knowledge through monitoring of industry related periodicals and other publications.

Job Qualifications:

  • Juris Doctorate degree preferred
  • State Bar Admission preferred
  • Minimum two years of litigation experience; broker/dealer or regulatory (e.g., FINRA, SEC, MSRB) experience a strong preference
  • Clear communication and excellent writing skills
  • Ability to travel on occasion as needed

Our Company:

LPL Financial, the nation’s largest independent broker/dealer since 1996* and the fourth largest broker/dealer overall, serves as an enabling partner to more than 14,000 independent financial advisors and approximately 700 financial institutions. Since its formation decades ago, LPL has focused on one primary mission -- enabling independent financial advisors to bring objective and un-biased financial advice to millions of Americans. 

Headquartered in Boston, San Diego, and Fort Mill, and powered by more than 3,300 client-centric employees, LPL is financially strong and growing.

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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