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VP, Complex Product Supervision

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Job ID R-023780 Date posted 06/12/2022 Primary Location SC-Fort Mill Other Locations TX-Austin , LA-Baton Rouge , MA-Boston ,OH-Cleveland

Are you a servant leader? Are you passionate about serving clients, adding value, improving processes/systems, and developing supervisory principals? Are you interested in being part of a team that is working to transform and do things differently?  Do you like working in a fast-paced environment? Are you interested in working on meaningful projects? If so, LPL Financial is the place for you!

Excited to learn more? If so, then this could be the role 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 18,000 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 Vice President (VP) of Complex Products Supervision (CPS) will lead the centralized CPS Annuity teams responsible for the overall management, development, success, and strategy of those teams reporting to the Deputy Chief Supervisory Officer in Supervision. The VP will be actively engaged in executing the strategy needed to drive efficiencies, develop talent, and continue to enhance while maintaining a robust, proactive and effective supervisory model. The candidate must be knowledgeable in the features and risks of complex products such as variable and fixed annuity products, non-traded REITs, structured products and other alternative investments.  

Responsibilities:

  • Driving, cultivating, and institutionalizing a sustained and focused effort to enhance risk controls, identifying appropriate service level agreements, and addressing performance via NPS, CSAT and other feedback
  • Using data analytics and metrics to identify and execute on process efficiencies
  • Evaluating CPS impact on the overall LPL control environment
  • Will be responsible for working with individuals from staff to executive level in the various support units within LPL Financial including Technology, Operations, and CLR to complete the various functions above, providing education and direction necessary to enable a culture of compliance.
  • Interfacing with regulators and possess the ability to effectively assess control platforms to identify potential areas of weakness or opportunity.
  • Being a servant leader that builds teams and drives a consultative culture.

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:

  • Bachelor’s Degree in Finance or related field; MBA and/or Juris Doctorate a plus
  • FINRA Series 7, 24 and Series 63/65 or Series 66
  • FINRA Series 9/10 or Series 4 & 53 preferred
  • 10+ years of industry experience (preferably financial services) in internal audit, compliance, risk management and/or other internal control disciplines
  • Strong overall business acumen (preferably within risk and supervision)
  • Extensive knowledge of the regulatory and supervisory policies as they relate to meeting reasonable standards of control policies. Ability to effectively analyze situations, applying solutions to achieve resolution
  • Up to 25% travel may be needed

Core Competencies:

  • 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
  • Exceptional interpersonal and partnership skills and the ability to positively influence outcomes, particularly in difficult matters
  • Highly motivated and able to adapt to changing priorities

About CLR

The Compliance, Legal & Risk (CLR) team is focused on delivering an industry-leading client service and risk management experience by providing advisors and our internal business partners with proactive guidance, advice, advocacy and consultative partnerships.

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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