Job ID R-026691Date posted 11/01/2022Primary Location SC-Fort MillOther Locations NC-Remote
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.
This position reports directly to the VP of Care Compliance Relationship Management (CM). The VP of Care Compliance Relationship Management reports to the SVP Head of Care Risk Management, Fraud and Trade Reporting (CRM). The Manager, Care Compliance Relationship Management, will be directly involved in the implementation and execution of the Compliance Relationship Management Framework. This includes interfacing with members of Care business and operational units, members of the LPL’s Compliance, Legal and Risk (CLR) division as well as team members within Care Risk Management, Fraud and Trade Reporting.
Develop and maintain effective relationships with Care business and operational units, members of the LPL’s Compliance, Legal and Risk division as well as team members within Care Risk Management, Fraud and Trade Reporting and other stakeholders.
Be a champion of the Care Compliance Relationship Management framework and serve as a point of contact for Care business and operational units.
Actively engage and coordinate escalations on behalf of Care business and operational units
Comply with reporting systems that ensure timely identification and reporting of compliance, risk and control matters and prompt/early escalation of critical issues including follow-up to resolution.
Support continuous improvement through process and gap analysis, identification of control and process improvements.
Development of training materials for the compliance relationship management framework for consumption topics for both the risk and business teams
Supervision of team members on the daily execution of assigned tasks and projects. Evaluate performance and provide feedback.
Working with CRM colleagues to develop data and metrics to manage the performance of the Compliance Relationship Management Framework.
Will work closely with individuals throughout the organization including CARE, IA, ERM, Compliance and Legal, from staff to senior level to complete the various functions above, providing education (teaching) necessary to enable a culture of risk management
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.
5+ years of industry experience within financial services (preferably with extensive risk management or compliance background in a large and mature risk management framework) in several disciplines (operations, risk management, strategy, internal audit, compliance, data lineage, control design and framework)
Career minded with a desire for continual growth through diverse work experience and on the job learning
Ability to employ a flexible approach to work duties which will continually change with the projects that are requested from executive leadership
Ability to work with and communicate effectively to various levels throughout the organization
Ability to work independently and produce work with minimal daily oversight
Ability to lead others, setting goals and expectations
A penchant for continuous improvement and looking for different avenues to automate work and drive efficiencies
Ability and desire to work on multiple projects
Personable and reliable self-starter who requires minimal management oversight for day-to-day work responsibilities
Strong attention to detail with a pro-active approach to solving and preventing problems
Series 99 or 7, 24, 63, 65, and 66
All Microsoft applications, particularly, WORD, PowerPoint, Excel and VISIO
Experience with Lean Six Sigma and other quality improvement methodologies
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.