Hiring: Regional Lead Company: LPL Financial Location: Tempe, AZ Job Posted Time: 2026-09-10 12:37:14 Target Skills & Keywords : Microsoft Excel, Microsoft PowerPoint, Project Management, Series 24, Series 66, Series 7, Wealth Management About the job Experience: •For further information about LPL, please visit www.lpl.com. •Join the LPL team and help us make a difference by turning life’s aspirations into financial realities. Please log in or create an account to apply to this position. Principals only. EOE. Required Skills: •Strategic Projects and Initiatives – The Assistant Vice President will focus on leading departmental initiatives that create efficiencies, streamline processes, and improve risk mitigation capabilities that align with corporate goals •Interact appropriately and confidently with Senior Management •Serve as a key contact for internal departments, such as Operations, Service Center, and various departments across Client Success •Anticipate the needs of LPL Financial and the Client Success organization in order to be able to define next steps with projects and other functions and be able to independently drive/execute projects •Identify specific regulatory issues, the application of regulatory requirements, and provision of advice on these rules and create and maintain internal policies, controls, etc. •Identify and report significant gaps in policy, procedure and controls to management, while offering corrective actions for consideration and implementation •Demonstrated capacity to identify problem areas, analyze risk for LPL Financial and develop policy, procedure and controls to effectively supervise and mitigate said risk •What are we looking for? Qualifications: •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); Series 66 (or S63 and S65) •Must work well under competing deadlines and possess strong organizational skills •Oral and written communication skills •Industry acumen, self-starter and the ability to work independently •Demonstrated capacity to multi-task, prioritize, problem solve, trouble shoot and follow-up are essential in this role •Prioritize tasks and project management •Knowledge in all Microsoft applications; particularly, Excel, Word, Access, and PowerPoint •Prior leadership/team management experience preferred Compensation: •$104,648 - $174,482 / year •Flexible work environment (work from home / hybrid options) Interested candidates, please apply directly through the job posting on company's career page or try via AI auto apply on this platform. Don't miss this opportunity to join a forward-thinking team!