About the role

  • providing operational and day-to-day support of the LPL IAN Supported Affiliation Model
  • supporting direct employees’ successful completion of supervisory functions
  • leading strategic projects as defined by senior management
  • acting as the liaison between assigned regions and various stakeholders
  • assist supervisors in regions with escalations while maintaining positive relationships
  • socialize concerns and escalated matters with senior leaders
  • leading department initiatives that create efficiencies, streamline processes, and improve risk mitigation capabilities
  • review and apply data and metrics to drive efficiencies, minimize backlog, assess resourcing needs, and implement management routines

Requirements

  • Undergraduate degree in Business, Accounting, Finance, or related discipline
  • A minimum of 7-10 years’ experience in supervision, compliance and/or regulatory matters
  • Series 7, 9 and 10 (or Series 24, 4 & 53); Series 66 (or S63 and S65)
  • Must work well under competing deadlines and possess strong organizational skills
  • Excellent oral and written communication skills
  • Strong industry acumen, self-starter and the ability to work independently
  • Strong knowledge in all Microsoft applications; particularly, Excel, Word, Access, and PowerPoint

Benefits

  • 401K matching
  • health benefits
  • employee stock options
  • paid time off
  • volunteer time off

Job title

AVP, Regional Lead

Job type

Experience level

Senior

Salary

$111,800 - $186,400 per year

Degree requirement

Bachelor's Degree

Location requirements

Report this job

See something inaccurate? Let us know and we'll update the listing.

Report job