Are you a team player? Are you curious to learn? Are you interested in working in meaningful projects? Do you want to work with cutting-edge technology? Are you interested in being part of a team that is working to transform and do things differently? 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:
As the Vice President, Complex Products Supervision (CPS) Solutions Specialist, you will be responsible for driving outcomes, leading cross-functional teams, and contributing to the deep and thoughtful analysis and project execution that enables an optimized supervisory experience and desired risk mitigation results. This role will have direct ownership of the Complex Products supervisory process and will be tasked with developing roadmaps, plans, and metrics that detail both strategic and tactical initiatives that mitigate risk, enhance the advisor and supervisor experience, and promote lean, efficient processes and routines to create an optimized supervisory experience for our frontline teams. The Vice President, CPS Solutions Specialist will proactively curate, groom, prioritize, and execute a pipeline of initiatives designed to support business needs and achieve specific desired outcomes.
A successful candidate for this role will have a combination of strong business acumen, a consultative mindset, and systems, product, and financial knowledge to assist with the development and delivery of optimized supervisory routines, tools, and lean process. The candidate should have a strong understanding of the regulatory environment around complex product risks and possess industry connections to obtain benchmarking considerations and industry best practices. An ideal candidate will serve as a trusted business partner and be proactive and consultative with key stakeholders across the firm.
Responsibilities:
•Responsibility for all procedures and controls associated with LPL’s Complex Products policies and the employee & client experience associated with those procedures
•Optimize supervisory framework in a manner that is scalable and effective
•Leverage industry network to gain valuable intelligence, best practices, and identify opportunities
•Create and manage a long-term roadmap that supports business needs and achieves stated objectives
•Perform various governance activities such as policy attestation, regulatory responses, and audit preparedness
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 business related field preferred
•10+ years industry experience with extensive exposure to and/or specialization in Complex Products (Alternative Investments, Structured Products, Non-traditional ETP, Offshore Products, and Cryptocurrency Related Products) supervision
•5+ years leadership experience with a proven record of delivering results
•Management or Supervisory experience preferred
•Series 7, 66 (or 63 & 65), and 24 (or 9 and 10) Required, other licenses a plus.
Preferences:
•Experience with all Microsoft applications, particularly, Excel, Word, PowerPoint, SharePoint, and VISIO
•Excellent oral and written communication skills
•Superior management and interpersonal skills
•Ability to meet deadlines in a fast-paced environment
•Highly analytical with excellent research skills.
Pay Range:
$120,520-$180,780/year
The salary range is dependent on a number of factors, including the applicant’s skill, experience, and work location.
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.
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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.
