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Vice President, Overlay Trading, Service & Operations

Job ID: R-002751 Date posted: 12/11/2018 Primary Location SC-Fort Mill

The Vice President of the Overlay Portfolio Management Group is responsible for the management of the day-to-day trading and operations of LPL Financial's Centrally Managed Platforms, which includes a Unified Managed Account (UMA) platform, a MF/ETF wrap platform, and Fortigent's multi-custodian platforms.

The individual will be responsible for providing strategic leadership to the service, trading and operations divisions within the OPMG. The VP is expected to operate within set policies and procedures and upholds all fiduciary responsibilities. The VP provides strong leadership with respect to identifying opportunities for improvements in order to enhance productivity, reduce risk, increase employee and customer satisfaction, as well as, manage a team of employees in multiple locations.  Must have a strong Finance background and be able to work in a fast-paced environment under rigorous time pressures.  

The Vice President of the Overlay Portfolio Management position is responsible for building, leading and driving a highly motivated staff to deliver an exceptional service experience to both our internal and external clients.  Key competencies of this role include developing talent within all levels of the OPMG, proactively identifying and solving issues, driving escalations to resolution with other business leaders, focus on operational excellence and driving innovation. 

Responsibilities Include:

  • Lead by example in the face of changing priorities
  • Participate and manage projects across and within OPMG
  • Create and implement a successful framework for managing potential change.
  • Present complex topics for discussion across multiple functions and adeptly speak to multiple sides of issues in order to drive informed decision making
  • Demonstrated knowledge of LPL platform, products and services
  • Evolve our service support model to drive service levels
  • Championing new ideas and initiatives, creating an environment that supports innovation and excellence.
  • Overseeing and driving service metrics, being committed to using them to help drive continuous improvement and refinement.
  • Building business and or development plans, action steps, and timetables for projects; preparing realistic estimates of budget, staff, and other resources.
  • Reviewing customer feedback trends, identifying, resolving and implementing changes needed to improve the overall service model and customer experience.
  • Liaising with our business leaders, colleagues and customers to deliver a service model that not only satisfies but builds loyalty.
  • Building collaborative relationships, fostering a sense of teamwork, facilitating the effective interaction and contribution of others to achieve goals.
  • Able to translate high level business directives into operational procedures
  • Participation on project teams providing the advisor point of view and making judgments and recommendations regarding timing, content, and delivery methodologies


  • Trading desk experience
  • Knowledge of trading regulations and requirements
  • Previous experience in service and operations
  • Bachelor, Master’s preferred in business course of study
  • Demonstrated experience in personnel management
  • Ability to manage and lead effectively in an ever changing environment through business acumen and organizational agility
  • Skilled change management driver who has critical consensus building skills and an ability to drive complex initiatives and change across multiple functions within the organization by partnering with and leveraging others’ expertise and roles
  • Build sound business relationships across the enterprise to enable a strong understanding and close alignment with business needs, direction, and risk appetite

 Licenses/Certifications Preferred:

  • Series 7, 63/66 required. Series 24 is preferred.
  • Ability to obtain 24 within 1 year

Software/Systems Skills Required/Preferred:

  • All Microsoft applications, particularly, VISIO, WORD,  ACCESS, PowerPoint and Excel

Soft Skills Required:

  • Excellent verbal and written communication skills
  • Personable and reliable self-starter who requires minimal management oversight for day-to-day work responsibilities
  • Strong attention to detail with a pro-active approach to solving and preventing problems
  • Ability to work under pressure/deadlines and manage multiple priorities
  • Ability to interface effectively with all levels of management
  • Exceptional interpersonal and partnership skills and the ability to positively influence outcomes, particularly in difficult matters
  • Strong time management and organizational skills
  • Highly motivated and able to adapt to changing priorities

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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Area(s) of InterestChoose at least one job category and/or location.

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