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VP, Home Office Supervision, Compliance, Legal, & Risk

Job ID: R-003517 Date posted: 07/05/2018 Primary Location CA-San Diego

Regional Vice President

The Regional Vice President (RVP) is responsible for the administration of Regional Supervisory Principals (RSP) engaged in the supervision of Home Office Supervision (HOS) advisors and producing OSJ managers in their designated region.

The Regional Vice President leads and develops a team of Regional Managers and Regional Supervisory Principals who are engaged in the supervision of brokerage and advisory business for HOS advisors and producing OSJ managers.  Additionally, The Regional Vice President coordinates and strategically executes the oversight functions of their region’s supervision. This position will also include responsibility for leading special projects as defined by the management team and collaborating with employees at all levels throughout the firm.

Essential Functions:

  • Staff Management - Responsible for hiring, training, motivating, and managing staff. The RVP will provide ongoing support, coaching, feedback and developmental opportunities to address staff needs in order to engage them and help them be more effective and successful. The RVP will conduct staff meetings, team meetings, and one on one meetings in addition to goal setting and conducting employee evaluations including, but not limited to, quality control and task oversight.
  • Service Management – Must handle escalations and maintain positive relationships with Advisors, OSJ Managers and internally throughout the firm. RVP will engage and coordinate with Business Consultants and socialize concerns and escalated matters with senior leaders as needed.
  • Production Management – Must ensure staff adheres to service level agreements. Strategize on approach to build or change current processes / procedures, including resources needed, requirements with which to comply, timeline for implementation, and ways with which to actively supervise these processes.
  • Risk Management – Utilizes risk based reporting to identify and ensure investigation of risk by advisor, branch, and/or territory. Must also analyze, coordinate and define risk for LPL in the scope of impending rule changes, business model needs, risk based mitigation approaches that may yield changes to functions, and departmental requirements. Understand and interpret rule requirements and the impact of their changes, updated policies and procedures, and the business needs of LPL, our advisors, and other departments.
  • Must possess the ability to interpret FINRA, SEC, and state regulations and develop and apply certain policies and procedures within the scope of the current regulatory environment in an attempt to mitigate risk and protect the firm. Must be able to communicate status and project outline to management and set the specific direction of a project, lead, and maintain an overall vision of the initiative/project


Other Job Duties:

  • Interact appropriately and confidently with Senior Management.
  • Prioritize tasks and project management
  • Serve as a key contact for internal departments, such as Operations, Service Center, and various departments across Compliance, Legal and Risk (CLR).
  • Anticipate the needs of LPL Financial and the CLR organization in order to be able to define next steps with projects and other functions and be able to independently drive/execute projects.
  • Identify specific regulatory issues, the application of regulatory requirements, and provision of advice on these rules and create and maintain internal policies, controls, etc.
  • Identify and report significant gaps in policy, procedure and controls to management, while offering corrective actions for consideration and implementation.


Qualifications:

  • Undergraduate degree in Business, Accounting, Finance, or related discipline preferred
  • Series 7, 9 and 10 (or Series 24); Series 4 & 53 required or must pass within 120 days of employment (for candidates with S24); Series 66 (or S63 and S65)
  • A minimum of 7-10 years’ experience in supervision, compliance and/or regulatory matters.
  • Prior leadership/team management experience preferred
  • Strong industry acumen, self-starter and the ability to work independently
  • Ability to multi-task, prioritize, problem solve, trouble shoot and follow-up are essential in this role
  • Ability to identify problem areas, analyze risk for LPL Financial and develop policy, procedure and controls to effectively supervise and mitigate said risk
  • Must work well under competing deadlines and possess strong organizational skills
  • Excellent oral and written communication skills
  • Strong knowledge in all Microsoft applications; particularly, Excel, Word, Access, and PowerPoint

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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