Avp, Regulatory Reporting

Job Description

Are you a team player? Are you curious to learn?

Are you interested in collaborating on meaningful projects? If so, LPL Financial is the place for you!

At LPL Financial (Nasdaq: LPLA) our mission is to take care of our advisors, so they can take care of their clients.

LPL serves the advisor-mediated advice marketplace as the nation's largest independent broker-dealer, a leading investment advisory firm, and a top custodian. We support over 22,000 financial advisors, including advisors at approximately 1,100 institution-based investment programs and at approximately 570 registered investment adviser firms nationwide. Our vision is to become the leader across the advisor-centered marketplace by empowering advisors to deliver great advice to their clients and be great operators of their businesses.

Job Overview

The Assistant Vice President of Regulatory Reporting will work with business partners in finance, accounting and external reporting, trust services and with other stakeholders across the company to support the preparation and submission of regulatory reports and other stand-alone financial reports for the company's trust business.

Responsibilities:

• Prepare and submit the monthly, quarterly, and annual Call Reports to the OCC and other regulators, as applicable.

• Support the annual stand-alone financial statement process for PTC Holdings, Inc. and its subsidiary, the Private Trust Company, N.A. and the Fiduciary Trust Company of New Hampshire.

• Participate in the continued enhancement and successful execution of SOX, operational, and regulatory controls.

• Identify opportunities for automation and process improvement and collaborate with business partners to implement.

• Support internal and external audits of the external financial and regulatory reporting processes and regulatory examinations, as applicable.

What does success look like in the first 90 days?

A successful individual will be able to make an immediate impact on the team by applying previous experience in regulatory or other external financial reporting to ensure continued compliance with regulatory requirements and improvement in the regulatory reporting processes and controls. Individual will also demonstrate strong written and oral communication skills when presenting the periodic results / reports to business partners ahead of submission.

What are we looking for?

We want strong collaborators who can deliver a world-class client experience. We are looking for people who thrive in a fast-paced environment, are client focused, team oriented and are able to execute in a way that encourages creativity and continuous improvement.

Requirements:

We want someone with a strong regulatory reporting background who will thrive in a fast-paced, deadline driven environment with multiple concurrent projects. This person should have excellent organizational, time management and problem-solving skills with a high level of attention to detail.

• Bachelor's degree in Accounting, Economics, Finance, or a related field

• 7 years of relevant experience in regulatory, external financial reporting, or accounting with an understanding of internal controls and proper supporting documentation

• Financial services experience, including experience with bank regulatory reporting under OCC or Federal Reserve requirements or brokerage regulatory reporting preferred

• Critical thinker with strong analytical skills

• Demonstrated ability to employ outside in thinking by leveraging best practices into new environments

Pay Range:

$102,200-$153,300/year

Actual base salary varies based on factors, including but not limited to, relevant skill, prior experience, education, base salary of internal peers, demonstrated performance, and geographic location. Additionally, LPL Total Rewards package is highly competitive, designed to support your success at work, at home, and at play - such as 401K matching, health benefits, employee stock options, paid time off, volunteer time off, and more. Your recruiter will be happy to discuss all that LPL has to offer!

Why LPL?

At LPL, we believe that objective financial guidance is a fundamental need for everyone. As the nation's leading independent broker-dealer, we offer an integrated platform of proprietary technology, brokerage, and investment advisor services. We provide you with a work environment that encourages your creativity and growth, a leadership team that is supportive and responsive, and the opportunity to create a career that has no limits, only amazing potential.

We are one team on one mission. We take care of our advisors, so they can take care of their clients.

Because our company is not too big and not too small, you can seize the opportunity to make a real impact. We are committed to supporting workplace equality, and we embrace the different perspectives and backgrounds of our employees.

We also care for our communities, and we encourage our employees to do the same. This creates an environment in which you can do your best work.

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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.

Information on Interviews:

LPL will only communicate with a job applicant directly from an @lplfinancial.com email address and will never conduct an interview online or in a chatroom forum. During an interview, LPL will not request any form of payment from the applicant, or information regarding an applicant's bank or credit card. Should you have any questions regarding the application process, please contact LPL's Human Resources Solutions Center at (855) 575-6947.