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SVP, Employee Model and Large Enterprise Supervision

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Job ID R-024303 Date posted 09/23/2022 Primary Location SC-Fort Mill Other Locations CA-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.

Job Overview:

The Senior Vice President (SVP), Employee Model and Large Enterprise (LE) Supervision, will serve as a senior leader in the Supervision Department within the Compliance, Legal, & Risk (CLR) business unit. They will be responsible for the strategic development, overall management, and success of the Employee Model/Large Enterprise Department.  In addition, they’ll be actively engaged in executing the strategy needed to develop a service model specific to this affiliation model, drive efficiencies, partner with the business for recruiting activities, and to develop and maintain a robust, proactive and effective supervisory affiliation model.  Responsibilities include:

  • Supporting and coaching Employee Model/LE management and supervisory staff in executing on the Supervision PODs, identifying enhanced service levels, and ensuring accountability while assessing related performance measures via NPS, CSAT, and advisor, employee, and business feedback.

  • Executing on the development of an enhanced service model in conjunction with the business and our Strategy, Operations, and Frontline Experience client experience team,

  • Partnering with the Strategic Business Development management to help recruit top advisors, and work with CLR partners to build out a program to address the model’s specific compliance/supervisory needs.

  • 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.

  • Acting as a servant-minded leader to identify, lead, train, mentor and develop Supervision managers in the execution of daily operations with 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 collaboratorswho 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.


  • Minimum of Bachelor's Degree; (law degree a plus)

  • 15+ years of supervision, compliance, risk management, and/or relationship management experience

  • Series 7, 63/65, 9/10 & 24 (within 90 days of start date)

  • Strategy formulation and implementation; tracking and measuring progress against agreed objectives/ deliverables.

  • Ability to drive cross-organizational projects


  • 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

  • Project and Change Management Experience

  • Proven experience working with financial advisors and branch leaders

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 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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