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The health and safety of our employees and candidates is very important to us. Due to the current situation related to the Novel Coronavirus (COVID-19), we’re leveraging our digital capabilities to ensure we can continue to recruit top talent at LPL Financial.As your application progresses, you may be asked to use one of our digital tools to help you through your recruitment journey. If so, one of our recruiters will explain what type of interviewing technology will be used throughout the recruitment process and will be on hand to answer any questions that you have. You can also email us at LPLFinancialHiring@lplfinancial.com.
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SVP, Deputy Chief Supervisory Officer

Job ID: R-022033 Date posted: 03/16/2022 Primary Location SC-Fort Mill Other Locations TX-Austin , MA-Boston , FL-Lakeland ,AK-Remote

Do you like to lead talented teams in a dynamic organization? Are you interested in working to transform and do things differently?  Are you passionate about serving clients, adding value, and improving processes/systems?  Are you a servant leader who excels in developing best-in-class supervisory talent?  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 19,000 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.

The Senior Vice President (SVP), Deputy Chief Supervisory Officer, will lead the centralized supervisory functions and serve as a senior leader in the Supervision Department within the Compliance, Legal, & Risk (CLR) business unit. They will be responsible for the overall management and success of the Complex Product Supervision and Advisor Onboarding/Outside Business Activities Departments.  In addition, they’ll be actively engaged in executing the strategy needed to drive efficiencies, oversee the merger and acquisition activities, and develop and maintain a robust, proactive, and effective supervisory model. 

Responsibilities include:

  • Supporting CPS management and staff in executing on the core supervision performed by these groups. Identifying common service level standards and ensuring there is accountability for CPS standards while assessing related performance via NPS, CSAT, and advisor and business partner feedback.
  • Using data analysis and metrics to help develop a more proactive and anticipatory approach to risk management. Ensure ongoing analysis of risks, vulnerabilities, and market trends. Determine potential impact on the organization’s risk posture.
  • Working with individuals from staff to executive level in the various support units within LPL Financial including Technology, Operations, Product Management, Business Development, and CLR to complete the various functions above, providing education and direction necessary to enable a culture of compliance and partnership.
  • Interfacing with regulators and effectively assessing control platforms to identify potential areas of weakness or opportunity.
  • Acting as a servant-minded leader to identify, lead, train, mentor and develop Supervision managers in the execution of daily operations with a mindset on cultivating senior leaders who evidence good judgment, are empowered to make risk-based decisions, and who, ultimately, may be ready to assume greater responsibilities within Supervision and/or CLR.

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.

Requirements:

  • Minimum of Bachelor's Degree; (law degree a plus)
  • 15+ years of brokerage, advisory, and/or complex product supervision, compliance, risk management, and/or relationship experience
  • Series 7 & 24 (within 90 days of start date)
  • Project Management and Change Management experience
  • Strategy formulation and implementation; tracking and measuring progress against agreed objectives/ deliverables.

Preferences:

  • Demonstrated ability to forge solid relationships with senior management teams interdepartmentally and cross-functionally, as well as having a client-centric relationship focus
  • Executive-level presentation and communication skills
  • Proven strength in General Manager, Talent Management and Strategic Agility skills
  • Extensive Product Management Experience
  • Experience with Continuous Improvement

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.

Want to hear from our employees about what it’s like to work at LPL?  Watch this!

We take social responsibility seriously.  Learn more here!

Want to see info on our benefits?  Learn more here.

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.

Want to hear from our employees on what it’s like to work at LPL?  Watch this!

We take social responsibility seriously. Learn more here

Want to see info on our benefits?  Learn more here

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.

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