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AVP New Client Onboarding

Job ID: R-009879 Date posted: 04/27/2020 Primary Location SC-Fort Mill

The Assistant Vice President of New Client Onboarding will serve a hybrid role leading a team of professionals responsible for the management and migration of data associated with conversions.   This individual will also be responsible for the team leading internal advisors conversions.  In addition to leading the teams, this individual will be responsible for understanding the details of data migration and leading projects/initiatives to continuously improve the movement of books of business for both internal and external clients of LPL Financial.  This role will require the ability to provide strategic direction driving continuous improvement associated with onboarding and conversion activities as a member of the leadership team.

The AVP will work across the LPL organization as well as external to the firm with clients, vendors and contra b/ds.  This individual will work closely with members of the Business Development team and STO in projects that require account movement.


·       Executive oversight and detailed involvement of all LPL transitions into and out of the firm that involve “tape-to-tape” electronic transfers as well as block transfers of direct business

·       Point of contact for all conversion escalations.

·       Relationship manager with contra b/d contacts in data migration/management

·       Relationship manager with vendors supporting the onboarding of advisors and books of business to the firm (i.e. B2B and future vendors)

·       Point of contact for Business Development in coordinating Institution pipeline and onboarding activities

·       Lead initiatives across LPL Transitions teams around enhancing the ease of use and efficiencies associated with book movement for both internal and external transitions.  Focus on continuous improvement to enhance client experience and scalability of processes.

·       Other project initiatives supporting the efficiency of STO.

Experience/Qualifications (Required/Preferred)

·       Leadership experience to assess talent and organizational structure/flexibility opportunities

  • Experience leading larger internal conversions

    ·       Relationship management experience (external and internal) – including ability to interact at the executive level within LPL and with Bank Executives

    ·       Financial Institution expertise

    ·       Experience working with clearing firms and/or back off systems for Broker Dealers (preferably Thompson Reuters (Beta))

    ·       Strong data analysis skills

    ·       Series 7

    ·       Experience managing projects across multiple business units

    ·       Strong written and verbal communication skills

    ·       Microsoft office suite expertise

About LPL Financial:

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 and its affiliates have more than 4,200 employees with primary offices in Boston, Charlotte, and San Diego.

*As reported by Financial Planning magazine, June 1996-2019, based on total revenue.

Our Culture:

If you join LPL, you will join a culture that believes in delivering a world-class client experience and looks to all employees to contribute to that goal by sharing their creativity, experience, and passion for continuous improvement. As a destination of choice, our top priorities are growth and development, social responsibility, and financial health for our employees. 

We offer competitive compensation and industry leading benefits, including a wellness facility with onsite fitness classes, healthy meal choices, and a walk-in clinic. We support employee financial health through a 401k match, ESPP, and employee discounts. Work/life balance is our foundation and is supported through paid holidays, and paid time off (including time to volunteer). We foster a diverse work environment through Employee Resource Groups and diverse strategic partnerships.  

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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