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The health and safety of our employees and candidates is very important to us. Due to the current situation related to the Novel Coronavirus (COVID-19), we’re leveraging our digital capabilities to ensure we can continue to recruit top talent at LPL Financial.As your application progresses, you may be asked to use one of our digital tools to help you through your recruitment journey. If so, one of our recruiters will explain what type of interviewing technology will be used throughout the recruitment process and will be on hand to answer any questions that you have. You can also email us at LPLFinancialHiring@lplfinancial.com.
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Manager, Compliance (west coast)

Job ID: R-018888 Date posted: 11/09/2021 Primary Location CA-Remote Other Locations AZ-Remote , OR-Remote

Are you a team player? Are you curious to learn? Are you interested in working in meaningful projects? Do you want to work with cutting-edge technology? Are you interested in being part of a team that is working to transform and do things differently? If so, LPL Financial is the place for you!

Excited to learn more? If so, then this could be the role for you!  

LPL Financial (Nasdaq: LPLA) was founded on the principle that the firm should work for the advisor, and not the other way around. Today, LPL is a leader* in the markets we serve, supporting more than 19,000 financial advisors, 800 institution-based investment programs and 450 independent RIA firms nationwide. We are steadfast in our commitment to the advisor-centered model and the belief that Americans deserve access to objective guidance from a financial advisor. At LPL, independence means that advisors have the freedom they deserve to choose the business model, services, and technology resources that allow them to run their perfect practice. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors, so they can take care of their clients.

The Manager, Branch Examinations, is responsible for managing a direct team of examiners that conduct branch exams of financial advisors. These branch exams include independent financial advisors and bank and credit union programs. The examiners work in remote locations nationwide.

The manager will provide direction to staff on all aspects of the examination process in accordance with federal and state regulations, FINRA and other SRO regulations and LPL Financial policies and procedures. The manager will strengthen their team by way of support from the home office, in-the-field support, regular coaching and feedback on employee performance, goal setting and attainment and customize ongoing training as needed. Periodic overnight travel will be required. . 

Essential Functions:
• Manage nationwide team of Examiners in daily operations around conducting assigned examinations; pre-audit, audit and post-audit phases. These phases include but are not limited to transaction and activity reviews, report analysis, on-site examination assistance, internal coordination of issues/escalations, mediation with office complexes and other necessary audit responsibilities.
• Review and cross-check completed audit kits for completeness and accuracy of audit content. Review audit kits and audit letters for overall quality assurance, approve and issue the final audit letters to OSJ or equivalent Branch Managers.
• Engage Branch Exam team with regular and varied training events via phone, web conference, on-site joint audits and in-person group meetings. Engagement occurs at the individual and group levels and Managers will be contributors to developing and personalizing ongoing training.
• Confidently represent, present and articulate the work performed by staff and the overall Branch Exams team with internal departments, during arbitration matters, to regulators, firm prospects and local, regional and national conferences and events.
• Direct and lead individuals and teams on large complex examinations (20-200 advisors), “for cause” audits, regulatory examinations and other special audits nationwide.


Other Job Duties:
• Oversee and participate on joint branch exams of large offices.
• Train new examiners on all aspects of branch exams and contribute to maintaining training curriculum and materials, conduct quality assurance review on new examiners and those who need specific areas of support
• Act as internal business partner to other business units, including relationship managers, recruiting and designated principals to address issues and provide feedback.
• Forward thinking contributions during group and/or committee meetings for special projects to enhance the audit processes and broader firm initiatives.
• Single point of contact for office complexes when heightened issues arise. Act as facilitator with escalations to resolve issue(s) and deliver excellent customer experience.
• Remain current with FINRA and state regulatory issues as well as the company’s own written compliance policies and procedures.
• Facilitate employee goal development and tracking for success throughout the year and record during the applicable periodic Employee Evaluation periods.


Qualifications:
•Candidate must reside on west coast (pacific time zone)

• Bachelor’s degree or equivalent industry experience required

• 8+ years industry experience, auditing and/or compliance experience
• Series 7, 24 and 63 required. Additional licenses are a plus
• Proficient in Microsoft Word, Excel, PowerPoint, Outlook. SharePoint and Access (highly desirable)
• Technical skills sufficient to test computers for security and controls of Windows and other applications and conduct investigative review of computer content
• Professional demeanor to represent LPL in a client facing role and across all levels within and outside the organization


Additional Skills:
• Must be detail oriented, have an inquisitive nature, strong organization skills and time management skills with the ability to meet deadlines in a fast paced environment
• Demonstrated ability to coach/mentor examiners and senior examiners
• Superior written and verbal communication skills
• Proven ability to work independently or in groups and to self-motivate

• Strong working knowledge of regulatory rules and LPL Financial policies and procedures
• Proven leadership ability with proficiency in all aspects of branch exams
ies and procedures
• Proven leadership ability with proficiency in all aspects of branch exams

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.

Want to hear from our employees on what it’s like to work at LPL?  Watch this!

We take social responsibility seriously. Learn more here

Want to see info on our benefits?  Learn more here

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 (800) 877-7210.

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