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AVP, Project & Policy Management, Marketing Regulatory Review

Company: LPL Financial
Location: San Diego
Posted on: January 15, 2019

Job Description:

The Assistant Vice President, Project and Policy Management Marketing Regulatory Review will work independently and is accountable for defining, planning, tracking and managing projects of varying scale and complexity. They will also identify key resources and provide leadership to cross-functional teams while maintaining responsibility for delivering defined project outputs on time and that meet project quality criteria. A high-level of attention to customer service is expected. The person who holds this position will help maintain our commitment to best practices in order to align with management/department goals. Essential Functions:

  • Develop strong relationships and act as MRR PM, Work Stream PM or Project Coordinator throughout the project lifecycles to achieve the project goals and objectives
  • Select and organize project teams and establish clear roles and responsibilities and lines of communication
  • Make sure regular project status/quality meetings are conducted and development of project metrics and project scorecard is accomplished
  • Keep management and key stakeholders well-informed on a timely basis on project progress, status and/or concerns for each assignment ensuring that expectations are met or exceeded
  • Participate in enterprise wide special projects
  • Provide guidance and support for business initiatives
  • Participate in researching and responding to periodic regulatory inquiries
  • Works with MRR Leadership and other stakeholders to identify and document process gaps (e.g., as evidenced by recurring issues) and suggest solutions and approaches to remediate
  • Responsible for updating and recommending changes for policies and procedures
  • Ensures ongoing group communications with legal, compliance, audit and other key stakeholders, providing information and incorporating recommended changes as needed
  • Responsible for managing a team of two Senior Analysts Qualifications:
    • BA or BS/MBA preferred
    • Minimum of 5+ years of relevant experience
    • The Series 7 and Series 24 are required , other licenses are a plus
    • Advertising/Marketing compliance review experience a plus
    • Superb efficiency in Microsoft Word, Excel, PowerPoint, and Visio
    • Candidates should be solution-focused, self-motivated, able to effectively collaborate with others, and able respond promptly and calmly to challenges
    • CAPM/PMP/Lean Enterprise certifications are a plus Other Job Duties:
      • Knowledge of FINRA, SEC, and state rules and regulations
      • Highly motivated and able to adapt to changing priorities
      • Ability to work in a fast paced/high volume environment and be flexible with work schedule
      • Ability to multi---task and deliver complex projects on time
      • Highly analytical with excellent research skills
      • Strong attention to detail, excellent problem---solving and follow---up skills
      • Excellent oral and written communication skills
      • Ability to function independently and cooperatively, and build consensus on projects About LPL Financial: LPL Financial is a leader in the retail financial advice market and the nation's largest independent broker/dealer*. We serve independent financial advisors and financial institutions, providing them with the technology, research, clearing and compliance services, and practice management programs they need to create and grow thriving practices. LPL enables them to provide objective guidance to millions of American families seeking wealth management, retirement planning, financial planning and asset management solutions. LPL and its affiliates have more than 3,700 employees with primary offices in Boston, Charlotte, and San Diego. 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 1, based on total revenue.

        Keywords: LPL Financial, San Diego , AVP, Project & Policy Management, Marketing Regulatory Review, Advertising , San Diego, California

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