AVP, Finance & Data Analytics (remote)Apply Job ID: R-019638 Date posted: 11/22/2021 Primary Location SC-Fort Mill Other Locations CA-Remote , CA-San Diego
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.
We are currently looking to hire an AVP, Data Analytics within the CLR Business Management department, which is a part of LPL’s Compliance Legal and Risk (CLR) organization. This role requires data analytics and business management capabilities to support the CLR Organization and the Chief of Staff. The AVP will be responsible for leading a team and will be tasked with working with all levels of staff in the various divisions of LPL Financial, including CLR, Finance, and the CARE organization.
This position requires excellent data, communication and writing skills, and the ability to quickly develop a working knowledge of the CLR organization. The ability to effectively interact with all levels of staff including senior and executive management, as well as experience working within a broker/dealer environment; ideally with a finance or business management background is preferred.
- Support the CLR Chief of Staff and Senior Leadership on a variety of operational, strategic, financial and ad hoc projects & initiatives as it relates to efficiency, effectiveness and scale of the division.
- Serve as the liaison of the CLR division to Finance for items related to budget, headcount, mergers & acquisitions, sourcing & procurement, and ad hoc projects.
- Lead the nimble and high-performing Strategy & Analytics team for the Compliance Legal & Risk (CLR) division, driving operational excellence and continuous improvement.
- Build cross-functional relationships across all leadership levels of the firm in order to find “signal in the noise” data points and anecdotes critical to the success of key projects and initiatives of the business.
- Responsible for assisting the Vice President of the department in creating, managing, and continuously improving CLR’s KPI/KRIs for senior leadership to provide reporting that is utilized proactively.
- Partner with strategic data leaders across the firm to drive results
- Support initiatives to improve the operational capabilities of the firm
- Prepare and present oral and written reports and presentations
- Develop and maintain client relationships and ensure client satisfaction
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.
- Bachelor’s Degree in Finance, Business Administration or equivalent work experience
- 3+ years of finance, budgeting and data analytics support for Chief of Staff or COO within financial industry. Excellent analytics capabilities, decision making and problem solving skills.
- 3+ years of experience running KPIs and KRIs for monthly reporting. Team player who is comfortable working in a dynamic and fast-paced environment with minimal supervision
- Ability to interact confidently with senior management
- Excellent verbal and written communication skills
- Balance multiple projects and other responsibilities
- Highly proficient with Excel & Powerpoint
- Tableau, Python, and/or SQL knowledge
- FINRA Series 7 and Series 24 licenses a plus
- Working knowledge of SEC, FINRA, and MSRB rules.
- Extensive knowledge of Compliance and Risk functions within a Broker/Dealer and Investment Advisory organization
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 @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.