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SVP, Operations - New Accounts & Transfers

Job ID: R-007586 Date posted: 09/17/2019 Primary Location SC-Fort Mill

The SVP of Operations will be responsible for guiding a dynamic and knowledgeable team of leaders who focus on operational excellence and client experience across LPL, a self-clearing broker dealer.  This position is responsible for leading and orchestrating operational effectiveness, strategic planning, financial management, risk oversight, project management and employee engagement and across the Service, Trading, and Operations (STO) organization.

Essential Functions:

  • Effectively lead Operations teams, with a focus on employee development, team engagement, priorities, etc.
  • Represent Operations and act as an ambassador for other Senior Leaders across the organization in various capacities, which may include home office visits and speaking with regulators, vendors, recruits, etc.
  • Orchestrate strategic and operational plan development
  • Manage a budget and perform senior management level activities including mentoring, coaching, strategy sessions, and conferences
  • Knowledgeable in FINRA, SEC and Audit regulations
  • Report on and communicate organization performance and priorities to executive leadership in a variety of written and verbal presentation formats
  • Demonstrate leadership for direct reports across multiple sites and others, as well as with vendors and regulators
  • Drive organizational change management and engagement
  • Assess staff talent and provide feedback for employee development and succession planning
  • Facilitate and orchestrate group level strategies and plans regarding organizational design, talent development and metrics/KPIs
  • Promote a culture of high performance and continuous business process improvement that values learning and a commitment to quality
  • Identify common service level standards for the various Operations functions and assess related performance
  • Upgrade and implement an appropriate system of policies, internal controls and procedures
  • Strategic thought leader and major business partner for development of enterprise-wide or business segment strategy
  • Lead teams to a proactive and anticipatory approach resulting in an enhanced client experience
  • In partnership with Offshore COE and other Operations leaders, work with offshore teams to ensure deliverables are met.


  • 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.

About LPL Financial:

LPL Financial is a leader in the retail financial advice market and the nation’s largest independent broker/dealer*. We serve independent financial advisors and financial institutions, providing them with the technology, research, clearing and compliance services, and practice management programs they need to create and grow thriving practices. LPL enables them to provide objective guidance to millions of American families seeking wealth management, retirement planning, financial planning and asset management solutions. LPL and its affiliates have more than 3,700 employees with primary offices in Boston, Charlotte, and San Diego.

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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  • Service and Operations, Fort Mill, South Carolina, United StatesRemove