Vice President, Compliance

For the 12th year in a row, LPL Financial Services (LPL) has been named America's number one independent brokerage firm*. Formed in 1989 through the merger of two small but successful brokerage firms, Linsco and Private Ledger, our firm continues to be an industry leader. Both a pioneer and innovator in the financial services arena, LPL manages over $165 billion in assets through its nationwide network of financial advisors. With headquarters in Boston, San Diego and Charlotte, we support over 10,000 financial advisors in more than 6,000 branch offices. The focus of our firm has always been on our advisors and our commitment to help them grow their business. In addition to providing independent research and operational support, LPL also leads the way on the technology front, offering innovative investment platforms that automate time-consuming functions. LPL's technology streamlines business processes for advisors, freeing up their time to focus on what they do best - provide sound financial advice and services to their clients. LPL is a company for talented people who thrive in a dynamic, challenging and growth-oriented environment. You are invited to consider an opening for a Vice President - Financial Institution Services (FIS) Compliance in our Charlotte office: LPL is looking for a Vice-President in our FIS Compliance Department. Position is responsible for ensuring compliance with applicable industry rules (SEC, FINRA and State regulations) and company policies by development and maintenance of policies and procedures, participation in firm compliance initiatives, preparation of written responses to regulatory inquiries, hiring, training and supervision of staff of Compliance professionals who supervise and conduct oversight of our representatives located in affiliated financial institutions (banks and credit unions.) Areas reporting to this position include Home Office Supervision (rep supervision); Advertising; Registration and Licensing; Audit; Surveillance. As part of the Compliance system of supervision, position is responsible for conducting various tasks toward the overall supervision and oversight of LPL Offices of Supervisory Jurisdiction (OSJ) Branch Managers and for participation in a wide variety of firm compliance initiatives. • Bachelor's degree • Minimum of 8 years industry experience required. • Successful history of management of compliance professionals • Series 7, 24 and 66 (or 63 and 65) licenses required • Series 4, 14, 53 a plus • Knowledge of mutual funds, annuities, general securities and other financial products required. • Strong communication skills, ability to multi-task, strong attention to detail, excellent problem solving and follow-up skills are essential for the position. • Must have the ability to work in a fast paced/high volume environment and be flexible with work schedule. We offer an excellent salary and benefits package. Please login or create an account to apply to this position. Principals only. EOE *Based on revenues, as reported in Financial Planning magazine, 1996-2005. We offer an excellent salary and benefits package. Please login or create an account to apply to this position. Principals only. EOE PLEASE NOTE: Valid LPL Financial job postings will not request personally identifying information (such as bank account information, social security numbers, credit card numbers, user names and passwords, etc.). If you are contacted by someone claiming to represent LPL Financial and are asked to provide the same type of information, be aware that LPL Financial does not request this type of information of job applicants, and this inquiry could be a form of “phishing.â€� To verify the validity of LPL Financial job postings, please go to our Careers page on www.lpl.com, as all open positions are posted on this Web site. LPL is an equal opportunity employer and in accordance with state and federal laws, will not descriminate against any employee or applicant for employment on the basis of race, gender, sexual orientation, color, national origin, ancestry, religion, age, disability, handicap or veteran status. Company: LPL Location: Charlotte Job Category: Legal Occupations: Regulatory/Compliance Law Industry: Financial Services Career Level: Manager (Manager/Supervisor of Staff) Reference Code: 3857