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Manager, Compliance

Job ID: R-007228 Date posted: 07/15/2019 Primary Location CA-San Diego Other Locations SC-Fort Mill

LPL Financial is looking to hire a Manager of Compliance for our Centralized Consulting Group within our Compliance, Legal and Risk Division. This is a full time position located at our San Diego or our Fort Mill corporate office.

The ideal candidate will manage 9 individuals in Compliance, Legal Risk’s (CLR) Centralized Consulting Group (CCG) located in San Diego, CA, and Fort Mill, SC. CCG is comprised of experienced and licensed compliance professionals who quickly support temporary resource and consulting needs within CLR, lessening the dependence on contingent workers and outside consultants. The position requires excellent analytical, communication, and organizational skills, along with a passion for leadership, learning, and implementing new concepts related to compliance and the broker-dealer industry. 

Essential Functions:

  • Deploy CCG resources in alignment with the goal of mitigating risk to the firm and enhancing CLR's talent pool.
  • Compile and monitor ongoing performance data measuring individual and departmental productivity, goal achievement, and overall effectiveness of consultants within assignments.
  • Produce monthly and ad-hoc reporting as required for Senior Leaders
  • Monitor volume and backlog reporting to aid in proactive deployment of resources.
  • Collaborate and disseminate information with CLR business partners and CCG consultants
  • Represent Centralized Consulting Group to the various business units in Compliance, Legal and Risk
  • Assess tools used to identify task risk levels to ensure measurements are appropriate and update as necessary.
  • Identify opportunities for team member's development and provide coaching to encourage professional growth.

Job Requirements:

  • 3+ years of responsible leadership experiences in management or supervisory positions.
  • Effectiveness in this role requires strong leadership and decision-making abilities
  • Strong oral and written communication skills and the ability to work independently are required to identify problems and implement solutions in a team environment
  • Ability to inspire and motivate team members to meet targets and handle daily operations of the organization
  • Utilize technology to train and guide team members
  • Minimum of a Bachelor's degree or equivalent in business or related field
  • Ability to learn and maintain professional and technical knowledge to serve as a resource for team members

Licenses/Certifications Preferred:

Series 7, 24, and 66

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 3,700 employees with primary offices in Boston, Charlotte, and San Diego.

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 login or create an account to apply to this position. Principals only. EOE

*As reported by Financial Planning magazine, June 1996-2017, based on total revenue.

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  • Compliance, Fort Mill, South Carolina, United StatesRemove
  • Compliance, San Diego, California, United StatesRemove