SVP, Back Office OperationsApply Job ID: R-012827 Date posted: 02/09/2021 Primary Location CA-San Diego Other Locations SC-Fort Mill
The SVP of Back Office Operations will report to the EVP of Operations, and is responsible for running LPL’s back office operations including day to day settlement and custodial functions, operational and financial reporting, risk management, critical vendor management, and regulatory compliance. SVP will focus on strategic opportunities related to custody & settlement, money market sweeps, corporate actions, tax reporting, cost basis, client communications to continuously improve the client and employee experience, focusing on scalability through creative solutions including automation, process flow refinement, and identification and implementation of new tools or solutions. Role includes active participation in industry forums, thereby driving solutions that support LPL’s strategic direction.
In addition, SVP will drive critical components of expansions of our clearing services and specialized offerings that facilitate not only LPL’s growth but also the growth of our advisors books of business by leveraging agile and lean six sigma design methods. Strong collaboration and interpersonal skills are essential to the success of LPL’s goals and commitment to our value of One Team on One Mission.
• 15+ years Financial Services industry experience across several disciplines including but not limited to Operations and Customer Service
• Series 7, 63/65 or 66 required; Series 24 preferred and eventually required
• Ability to manage and lead geographically dispersed teams effectively in dynamic and fast paced environment
• Change leadership excellence and experience to include LEAN principles and experience in integrations, offshoring, and other changes to the business model
• Ability to leverage others expertise and experience in identifying, evaluating and mitigating risks
• Energetic, flexible and collaborative
• A natural forward planner who critically assesses own performance, that of the team and adjusts as needed
Soft Skills Required:
• Excellent verbal and written communication skills.
• Personable and reliable self-starter who requires minimal management oversight for day-to-day responsibilities.
• Strong attention to details with a pro-active approach to problem solving and problem prevention.
• Ability to work under heavy pressure/demands/deadlines and manage multiple priorities.
• Exceptional interpersonal and partnership skills and the ability to positively influence outcomes and drive change.
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 @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.