Assistant Vice President, Regulatory Examinations

LPL Financial   •  

San Diego, CA

Industry: Financial Services


Less than 5 years

Posted 269 days ago

This job is no longer available.

At LPL Financial, we are currently looking for an Assistant Vice President, Regulatory Examinations and Inquiries to join our Regulatory Examinations and Inquiries Team, which sits within our Compliance, Legal, and Risk (CLR) function. This position will be located at our San Diego office.

The Regulatory Examinations and Inquiries Team is primarily responsible for responding to a broad range of regulatory examinations and other inquiries, such as SEC, FINRA and state securities division examinations, sweep requests, and other inquiries. 

Essential Functions:

  • •Manage regulatory examinations and inquiries involving the Firm and/or its associated persons.  Evaluate legal and regulatory risk and exposure, coordinate and prepare written responses and productions, interact with advisors and supervisors, and communicate with regulators as to scope and content of productions and responses.
  • •Provide timely risk assessments and status updates of regulatory matters for executive management.
  • •Advise internal departments about risk areas and provide guidance regarding Firm procedures and regulatory requirements.
  • •Participate in standing and ad hoc Firm committees and task forces.
  • •Stay abreast of regulatory developments and initiatives; maintain current practice knowledge through monitoring of industry related periodicals and other publications.

Job Qualifications:

  • •Juris Doctorate degreepreferred
  • •State Bar Admissionpreferred
  • •Minimum two years of litigation experience; broker/dealer or regulatory (e.g., FINRA, SEC, MSRB) experience a strong preference
  • •Clear communication and excellent writing skills
  • •Ability to travel on occasion as needed

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.

Job ID: R-001098.