Manager, Compliance/Supervision

  LPL Financial Services has a full-time opportunity for a Manager of Compliance Supervision in its San Diego Compliance department. This position will be responsible for assisting the firm with regard to regulatory and compliance matters. Responsibilities include: working with the various departments to develop and grow business strategies; keeping up to date with Company and industry regulations regarding financial institution activities; and managing and developing a staff.   Position Duties/ Tasks: Work will involve all aspects of compliance support for a sophisticated full service brokerage and investment advisory business. Responsibilities include: managing a team of analysts, performing daily and periodic supervision of trading activity and other activities of OSJ's; researching and responding to regulatory inquiries and examinations; writing policies and procedures; making effective use of information systems; preparing and conducting compliance training presentations; overseeing and managing compliance supervision teams and ensuring that Financial Advisors are meeting the standards and requirements set by regulatory agencies and the company; leading investigations of questionable sales activity, acting proactively to identify potential issues and leads staff initiatives to improve and streamline supervision procedures; serving as an expert resource on compliance supervision issues to Financial Advisors and compliance staff and various departments throughout the company, preparing various reports for the Chief Compliance Officer; and, performing other duties as assigned. Travel: Minimal   Candidate must be familiar with the SEC, MSRB and NASD regulatory environment and requirements. Helpful experience or knowledge would include: regulatory agency or self-regulatory organization; branch office supervision; front office or back office of a brokerage firm or investment adviser; work in a regulatory, compliance or business capacity on capital markets matters and fixed income or equity trading desks; and/or understanding of syndicate offerings and alternative investments. • Bachelor's degree in business related field or equal experience • Series 7, 24, 63 and 65/or 66, required. • Series 3, 4, 27 and 53 licenses and Variable Life and Annuity licenses a plus. • 3+ years previous securities Compliance experience • Management or Supervisory experience preferred • Ability to formulate and communicate a strategic vision for compliance at the firm • Ability to function cooperatively, provide leadership, and build consensus on compliance issues among managers, employees and representatives • Ability to formulate and implement departmental strategies • Excellent oral and written communication skills • Excellent management, and human relations skills • Strong mentoring skills • Knowledge of NASD, SEC, MSRB and State rules and regulations   We offer an excellent salary and benefits package. Please login or create an account to apply to this position. Principals only. EOE 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. Position Title: Manager, Compliance/Supervision Location: US-CA-San Diego Job Category: Accounting/Finance/Insurance Career Level: Manager (Manager/Supervisor of Staff)