LPL is seeking a dynamic and accomplished leader to serve as Senior Vice President (SVP) and head of the Operations Compliance organization. This position will be part of the Finance, Operations, and Risk organization, will report to the head of Trading, Operations, Communications and Records Management Compliance Organization. The position involves managing a small experienced team of compliance professionals located in LPL’s San Diego, Fort Mill, and Boston offices.

Key Responsibilities:

• Design, implement, enhance and manage the compliance oversight programs for the firm’s service, operations and financial operations (FinOp) functions. Responsibilities include:
• Tracking, assessing, and communicating relevant regulatory changes to business leaders driving business and Compliance program readiness;
• Development of Written Supervisory Procedures in support of firm policies, supporting training and communications on topics impact our area of coverage;
• Working with business partners to identify the proper solutions and products needed to meet the regulatory requirement while providing ongoing advice, guidance and offering challenge to business units within LPL
• Performing risk assessments of relevant laws, rules and regulations, and advising on and performing related controls testing
• Managing and/or advising on significant cross-functional transformation projects, remediation activities, rule change implementations, acquisitions, and other related initiatives
• Providing oversight of the functions performed by the operational business units in all locations; ensuring robust design and maintenance of procedures, training of offshore personnel, management quality control, and other assessments and testing of the firm’s offshore infrastructure as appropriate

Additional Essential Functions:

• Represent Finance, Operations, and Risk and serve as an ambassador for other senior leaders across the organization in various capacities, which may include advisor home office visits and speaking to a variety of audiences, including regulators, vendors, recruits, etc.
• Promote a culture of high performance and continuous business process improvement that values learning and a commitment to quality, and drives efficiency using a proactive and anticipatory approach resulting in an enhanced advisor experience.
• Actively participate in industry committees
• Assess staff talent and provide feedback for driving employee development and engagement across all levels of the organization

Qualifications:

• Undergraduate degree in a related field; advanced level degree is a plus
• 10+ years Financial Services industry experience, with significant experience in compliance or risk management related to broker-dealer operations
• Securities licenses preferred (Series 7, 24, 27, other)
• Self-starter to define an agenda and gain support for it with leadership
• Ability to manage and lead geographically dispersed teams effectively in dynamic and fast paced environment
• Experience leading and motivating a direct report and cross-functional team and influencing

Pay Range:

$172,520-$258,780/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 @lp lfinancial.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 (800) 877-7210.