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Assistant Vice President, Regulatory Reporting

Job ID: R-002211 Date posted: 01/31/2018 Primary Location CA-San Diego

Assistant Vice President / Regulatory Reporting Job Description:

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

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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