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Senior Manager, Registrations

Job ID: R-011570 Date posted: 11/18/2020 Primary Location SC-Fort Mill

The AVP of Registration is responsible for building and maintaining an efficient customer service oriented team, while reducing regulatory risk and exposure. The AVP supports the Registration manager with managing the Registration staff that processes securities registration and licensing of Advisors.

The AVP is responsible to analyze current workflows and processes identifying gaps and devising solutions to ensure the department is meeting regulatory and company requirements. Creation of new processes/workflow as deemed necessary and creating procedures and training for the department. This includes fostering the bi-coastal partnership of the Registration departments.  AVP needs to participate or lead projects that focus on enhancing the department.  The AVP should be proficient with state and FINRA registration and insurance requirements.  Provides recommendations and reports to VP on successes, challenges, and needs.

Essential Functions:

  • Runs, collects, and analyzes reports of work volumes and quality assurance.  Provides statistical analysis
  • Provide support and coaching to Registration Managers.  Provide immediate feedback, and constructive criticism. Help resolve any employee issues and escalations
  • Keeping risk exposure to a minimum for department and firm. Includes ensuring all regulatory driven processes are completed within regulatory timelines
  • Proficient with understanding FINRA and State Registration rules and Regulations and how it pertains to departmental functions.
  • Implement projects to team
  • Facilitate cooperation and collaboration with partnering departments.  Create an environment of collaboration focused on improving service levels and efficiencies
  • Develops and maintains Quality Assurance program on departments multiple functions
  • Identify risk and gaps. Takes initiative to improve processes

Qualifications:

  • Bachelor's Degree and or/ equivalent experience preferred
  • 3 to 5 years financial services experience required
  • Series 7 preferred
  • Previous supervisory experience preferred

About CLR

The Compliance, Legal & Risk (CLR) team is focused on delivering an industry-leading client service and risk management experience by providing advisors and our internal business partners with proactive guidance, advice, advocacy and consultative partnerships.

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.

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We take social responsibility seriously. Learn more here

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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 @lpl.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.

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  • Compliance, Fort Mill, South Carolina, United StatesRemove