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AVP, Advisory Operations/Billing

Job ID: R-024684 Date posted: 07/26/2022 Primary Location SC-Fort Mill Other Locations CA-San Diego

Are you a team player? Are you curious to learn? Are you interested in supporting others as they grow their business? 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!

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 18,000 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 personalized 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.

Job Overview:

The Assistant Vice President of Advisory Operations/Advisory Billing will provide project management support including problem-solving, reporting, and training support to their respective team. The AVP will act as the primary liaison between the technology, product and operational teams to ensure optimal outcomes and execution of projects including standardized processes to integrate new work into the day-to-day functional teams. The AVP will also support the teams risk management by understanding controls that impact advisory billing including any remediation activities. This will require the AVP to have an understanding of the overall advisory billing process and how the various independent processes fit in the overall billing process including the dependencies on other key departments within LPL.  


  • Must have the ability to communicate complex issues both in writing and verbally to across all levels at the firm and customers
  • Documents quality issues, performance measures and quality improvements for management review
  • Ensures proper application of and compliance with internal and regulatory standards, guidelines and procedures.
  • Research complex situations and define the actions necessary to resolve the situation leveraging Lean and Six Sigma methodologies
  • Project testing support and implementation leveraging JIRA and SAFe methodologies
  • Prioritization of solution implementation based on reputational, regulatory and financial risk
  • Coordination with internal and external team members to implement or support ongoing processes
  • Ability to execute on change management leveraging best practices including updating and maintaining department controls and procedures.
  • Reengineer existing processes to increase efficiency and optimization by leveraging Lean and Six Sigma methodologies
  • Implementation and support of best practices for user acceptance testing
  • Ability to prioritize and independently manage deliverables related to competing projects and initiatives
  • Ability to take on new challenges with little guidance
  • Ability to collaborate across all different levels within the firm

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.


  • 7+ years in the brokerage and financial services industry
  • User acceptance testing and management experience
  • Competent to use Microsoft Word, Outlook, Visio, PowerPoint, and Excel

Core Competencies:

  • Strong analytical and problem solving skills with a keen attention to detail
  • Excellent verbal and written communication skills
  • Ability to perform under pressure
  • Strong leadership skills
  • Ability to meet strict deadlines with minimal supervision in a fast-paced environment.
  • Ability to analyze information and strong reporting skills
  • Strong leadership skills and ability to manage expectations at all levels of the organization


  • Six Sigma Green Belt preferred
  • Bachelor’s degree or equivalent experience required
  • FINRA licensing a plus
  • Knowledgeable in portfolio and investment sleeve transaction accounting and reconciliation
  • Experienced with JIRA & BETA
  • Understanding of Advisory Products, Centrally Managed Platforms and other LPL products

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 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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