Regional AVP Supervision

Assistant Vice President – Overview The Assistant Vice President (AVP) will provide operational and day‑to‑day support to the Supervision VP and oversee the successful completion of supervisory functions within the designated regions. The AVP will lead strategic projects, act as liaison between assigned regions and various stakeholders, and provide insight and support related to risk and supervision matters. Responsibilities Service management – Support the VP and regional supervisory teams with escalations, maintaining positive relationships with Advisors, Field Leadership, and internal stakeholders. Strategic projects and initiatives – Lead departmental initiatives that create efficiencies, streamline processes, and improve risk mitigation capabilities aligned with corporate goals. Production management – Monitor workload and staffing using metrics and reporting to ensure adherence to service‑level agreements; strategize process improvements and implementation plans. Regulatory compliance – Interpret FINRA, SEC, and state regulations; develop and apply policies and procedures to mitigate risk and protect the firm. Project leadership – Communicate status and project outlines to management, set direction, lead teams, and maintain overall vision of initiatives. Senior‑management interaction – Interact confidently with senior management representing LPL Financial goals. Interdepartmental liaison – Serve as key contact for Operations, Service Center, and other departments across Client Success. Proactive planning – Anticipate needs of LPL Financial and Client Success to define next steps and independently drive projects. Policy development – Identify regulatory issues, provide advice, create and maintain internal policies, controls, and report significant gaps with corrective actions. Risk analysis – Identify problem areas, assess risks, and develop policies and controls to supervise and mitigate risk. Qualifications Undergraduate degree in Business, Accounting, Finance, or related discipline. Minimum 7+ years of experience in supervision, compliance, and/or regulatory matters. Series7,9,10 (or Series24); Series66 (or S63 and S65). Strong organizational skills with the ability to manage competing deadlines. Excellent oral and written communication skills. Industry acumen, self‑starter, and ability to work independently. Ability to multitask, prioritize, problem‑solve, troubleshoot, and follow‑up. Project management and task‑prioritization capabilities. Proficiency with Microsoft applications – Excel, Word, Access, PowerPoint. Preferred: Prior leadership or team‑management experience. Benefits & Compensation Pay Range: $104,648–$174,482 (actual base salary varies based on factors such as skill, experience, education, internal peers, performance, and geography). LPL offers a comprehensive Total Rewards package, including 401(k) matching, health benefits, employee stock options, paid time off, volunteer time off, and more. Equal Opportunity Employer. EOE. #J-18808-Ljbffr LPL Financial LLC