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LPL Financial

Avp, Govn, Risk & Compliance

LPL Financial - Fort Mill, SC

We are currently seeking an Assistant Vice President within the Registrations and Licensing group, which is part of LPL's Compliance, Legal & Risk (CLR) organization. The position will report into the Vice President of Registrations and Licensing and will be responsible for managing a team that processes insurance and securities registration/licensing of Advisors.

This will include the onboarding of new advisors and programs, as well as maintenance of their registrations and insurance licenses. The AVP will be responsible for analyzing current workflows and processes, identifying gaps and devising solutions to ensure the department is meeting regulatory requirements. Essential Functions:

Creation of new processes/workflow as deemed necessary and create/enhance new and existing procedures and training for the department. Enhance management reports, metrics' reports and operational reports to include Key Risk Indicators, Key Performance Indicators, trends and analysis. Collaborate with team to implement initiatives and projects sponsored and approved by management.

Facilitate cooperation and collaboration with partnering departments. Create an environment of collaboration focused on improving service levels and efficiencies. Develop and maintain a Quality Assurance for all functions.

Ensure proper process controls are continually identified and implemented to mitigate operational and regulatory risk. Perform other duties as assigned.

Bachelor's degree or comparable experience required At least 5 years financial services experience, preferably in a broker-dealer 2 - 4 years of experience in a Registrations and Licensing department preferred Experience with Oracle, RegEd or other prevalent registrations and licensing systems preferred Proficient understanding of FINRA and State Registration Rules and Regulations Demonstrated experience making independent critical fact-based decisions while understanding the appropriate escalation points.

Ability to prioritize and handle multiple activities simultaneously in a fast-paced and dynamic financial services environment Prior experience supporting strategic improvements and delivering measurable change Strong analytical skills, problem solving, good critical thinking and decision making skills Strong attention to detail and quality assurance Highly motivated and able to adapt to changing priorities. 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. SDL2017

11 days 5 hours ago

LPL Financial


Avp, Govn, Risk & Compliance LPL Financial - Fort Mill, SC, United States


Location: Fort Mill, SC

Company Profile:
LPL Financial was founded with a pioneering vision: to help entrepreneurial financial advisors establish successful businesses through which they could offer truly independent financial guidance and advice. Today we provide an integrated platform of proprietary technology, brokerage, and investment advisory services to over 13,500 financial advisors as the nation’s largest independent broker/dealer,* making us a leading distributor of financial products in the United States. In addition, we support over 4,000 financial advisors with clearing services, advisory platform, and technology solutions.