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SVP, Chief of Staff (Compliance, Supervision)

Job ID: R-002456 Date posted: 03/09/2018 Primary Location SC-Fort Mill

LPL is seeking a results driven and adaptable risk professional to support the Supervision department within the Compliance, Legal and Risk (CLR) organization in its Senior Vice President, Chief of Staff capacity.

The SVP, Chief of Staff’s primary responsibility will be overseeing day-to-day operations to allow the Head of Supervision to focus on strategic priorities. The individual will also be responsible for leading the Advisor Onboarding and Outside Business Activities, Quality Control and Oversight and Operational Risk teams.

As a strategist, consultant and implementer, the successful candidate will drive operational excellence within the organization based on the priorities of the Head of Supervision.

Essential Functions:

  • Manage and guide the leaders responsible for running the Advisor Onboarding and Outside Business Activities, Quality Control and Oversight, and Operational Risk teams
  • Act as an adviser to the head of supervision
  • Establish and maintain effective management and reporting routines that allow the head of supervision to focus on “risks that matter”
  • Coordinate the execution of strategic initiatives and department-wide deliverables
  • Assist the head of supervision in creating department goals and operationalizing the business plan
  • Partner with Finance to develop the annual budget that supports the organization’s strategic initiatives
  • Prepare influential executive level presentations to facilitate fact-based business cases, recommendations, and program updates


  • Bachelor’s degree in Finance or Business
  • 10+ years’ experience in financial services industry
  • Consulting and/or operations expertise preferred
  • Exceptional project management and organizational skills; a proven “closer”
  • Detail oriented and strong analytical skills
  • A natural and confident leader
  • Excellent oral and written communication skills; strong executive presence
  • Ability to manage multiple initiatives concurrently in a fast-paced, entrepreneurial environment
  • Highly collaborative with experience in leading and influencing teams and individuals across lines of business, functional areas and different levels of an organization; Courage to hold peers accountable

Our Company:

LPL Financial, the nation’s largest independent broker/dealer since 1996* and the fourth largest broker/dealer overall, serves as an enabling partner to more than 14,000 independent financial advisors and approximately 700 financial institutions. Since its formation decades ago, LPL has focused on one primary mission -- enabling independent financial advisors to bring objective and un-biased financial advice to millions of Americans. 

Headquartered in Boston, San Diego, and Fort Mill, and powered by more than 3,300 client-centric employees, LPL is financially strong and growing.

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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