Skip Navigation
Search Our Jobs

Search Our Jobs

Click Here to View All Available Opportunities at LPL Financial

Assistant Vice President, Regulatory Reporting

Job ID: R-002211 Date posted: 09/12/2018 Primary Location CA-San Diego Other Locations SC-Fort Mill

The Assistant 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 AVP will provide support for any exams or questions.  In addition, the AVP/RR requires a close relationship with Treasury, Operations, Legal and IT departments.

Job Duties and Responsibilities:

  • 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.


  • Undergraduate degree in Accounting or Finance
  • Working knowledge of SEC rules and regulations, primarily SEA Rule 15c3-1 and SEA Rule 15c3-3.
  • 5 to 7+ years’ experience in SEC broker dealer regulatory capacity.
  • Should have some brokerage operations knowledge and be familiar with stock brokerage accounting.
  • Professional certification such as CPA preferred.
  • Advanced skills in Microsoft Office Suite: Excel, VB, Access, Powerpoint; ability to model and create complex spreadsheets.
  • Strong written and oral communications
  • Strong teamwork ethic and organizational skills
  • Pro-active/result oriented work ethics

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.

Sign Up for Email Alerts!

Areas of InterestStay up-to-date about the latest opportunities at LPL Financial! Choose at least one category and/or location from the auto-suggestions and click 'Add' to subscribe.

  • Finance, San Diego, California, United StatesRemove
  • Finance, Fort Mill, South Carolina, United StatesRemove