Where Ambition Meets Innovation
Build a career that matches all your initiative with an impressive dose of innovation. From cutting-edge resources and a collaborative environment to the freedom to make an impact and more, you’ll find the ingredients you need at LPL Financial to shape your success while helping clients pursue their financial goals.
Job Overview:
The Associate Regional Investment Director (AVP) partners closely with the Regional Investment Director (VP) to support the performance, growth, and day-to-day execution of a team of Financial Advisors and Sales Assistants within LPL’s Bank & Credit Union Managed Affiliation Model (MAM).
This role plays a critical part in translating strategic priorities into field-level execution, driving advisor engagement, and delivering a consistent, high-quality client and partner experience.
Responsibilities:
Support the execution of program goals and management objectives, with a strong focus on Financial Planning, Managed Money, and Insurance business growth.
Partner with the Regional Investment Director to drive results across key performance indicators, including AUM growth, productivity, and advisor headcount.
Provide hands-on coaching and development to Financial Advisors to enhance sales effectiveness, deepen client relationships, and improve adoption of core solutions.
Reinforce consistent use of financial planning and advisory tools to promote holistic client engagement and strong practice management discipline.
Assist in managing relationships with bank and credit union partners, ensuring alignment to strategic priorities and supporting execution of growth initiatives.
Identify opportunities within the advisor population through performance data and field observation; implement targeted actions to improve outcomes.
Support recruiting efforts by helping to identify, attract, and onboard high-quality Financial Advisors into the program.
Act as a day-to-day resource for advisors, helping to resolve challenges, remove barriers, and escalate complex issues as appropriate.
Help maintain a strong risk and compliance culture by reinforcing adherence to regulatory requirements and program policies.
Contribute to a positive team culture that emphasizes accountability, collaboration, and continuous improvement.
Support change management efforts by helping advisors navigate evolving program initiatives, tools, and expectations.
What are we looking for?
We’re looking for strong collaborators who deliver exceptional client experiences and thrive in fast-paced, team-oriented environments. Our ideal candidates pursue greatness, act with integrity, and are driven to help our clients succeed. We value those who embrace creativity, continuous improvement, and contribute to a culture where we win together and create and share joy in our work.
Requirements:
Bachelor's Degree (concentrations in: Finance, Economics, Marketing or other business related fields)
5+ years of experience in the Financial Services sector: Wholesaling, Financial Consultant, Coaching/Development – with at least 2 of these years in a Financial Services leadership role
5+ years of experience utilizing MS-Word, MS-PowerPoint, MS-Outlook, MS-Excel
Must be able to travel within this market on a regular basis in support of program priorities
Preferences:
FINRA Series 9 & 10 or Series 24. Also Series 7, 63 and 65 or 66 and Life & Health Insurance License
MBA/CFP/CFA/CIMA preferred
Demonstrated ability to influence and coach advisors to drive adoption, growth, and improved performance.
Strong partnership orientation, with the ability to collaborate effectively with internal stakeholders and retail bank partners.
Working knowledge of wealth management concepts, including advisory platforms, financial planning, and insurance solutions.
Effective communicator with strong presentation and interpersonal skills.
Ability to operate with a high degree of accountability, organization, and adaptability in a dynamic environment.
#LPL-PA
Pay Range:
$108,356.00 - $180,559.00Actual 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, volunteer time off, and more. This role is also eligible for LPL’s discretionary bonus. Your recruiter will be happy to discuss all that LPL has to offer!
Company Overview:
LPL Financial Holdings Inc. (Nasdaq: LPLA) is among the fastest growing wealth management firms in the U.S. As a leader in the financial advisor-mediated marketplace(6) , LPL supports over 32,000 financial advisors and the wealth management practices of approximately 1,100 financial institutions, servicing and custodying approximately $2.3 trillion in brokerage and advisory assets on behalf of approximately 8 million Americans. The firm provides a wide range of advisor affiliation models, investment solutions, fintech tools and practice management services, ensuring that advisors and institutions have the flexibility to choose the business model, services, and technology resources they need to run thriving businesses. For further information about LPL, please visit www.lpl.com.
At LPL, independence means that advisors and institution leaders have the freedom they deserve to choose the business model, services, and technology resources that allow them to run a thriving business. They have the flexibility to do business their way. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors and institutions, so they can take care of their clients.
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.
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.
EAC 5.19.26
Skills Required
- Bachelor's Degree in Finance, Economics, Marketing, or other business-related field
- 5+ years of experience in the Financial Services sector with at least 2 years in a Financial Services leadership role
- 5+ years experience using MS Word, MS PowerPoint, MS Outlook, MS Excel
- Must be able to travel within this market on a regular basis
- FINRA Series 9 & 10 or Series 24; Series 7, 63 and 65 or 66 and Life & Health Insurance License
- MBA, CFP, CFA, or CIMA
- Demonstrated ability to influence and coach advisors to drive adoption, growth, and improved performance
- Strong partnership orientation and ability to collaborate with internal stakeholders and retail bank partners
- Working knowledge of wealth management concepts, including advisory platforms, financial planning, and insurance solutions
- Effective communicator with strong presentation and interpersonal skills
- Ability to operate with high accountability, organization, and adaptability in a dynamic environment
LPL Financial Compensation & Benefits Highlights
The following summarizes recurring compensation and benefits themes identified from responses generated by popular LLMs to common candidate questions about LPL Financial and has not been reviewed or approved by LPL Financial.
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Retirement Support — Retirement programs include a company 401(k) match that is frequently highlighted as a strong component of total rewards. Feedback suggests these features meaningfully enhance long‑term financial value.
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Equity Value & Accessibility — An employee stock purchase plan with a meaningful discount and lookback is highlighted as accessible ownership. Feedback suggests the plan adds tangible upside beyond base salary.
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Parental & Family Support — Paid parental leave has been expanded alongside family‑building and adoption support. Feedback suggests these benefits compare well to large‑employer standards.
LPL Financial Insights
What We Do
Financial advice is changing, and at LPL Financial, we’re at the forefront. We’re building a future where advisors can—with no friction or complexity, as simple as turning the dials—pick the business model, services, technology, and product mix that best meet their clients’ needs. With one platform, one sign-on, and one team to call, you can take your business anywhere you want it to go. There are no limits to your growth, and we’ll partner with you every step of the way. Your greatness is our goal. 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.com Securities and Advisory Services offered through LPL Financial. A registered investment advisor, Member FINRA/SIPC.
