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VP, Operations

Job ID: R-004622 Date posted: 10/16/2018 Primary Location SC-Fort Mill

The Vice President of Operations for Cash Management will be the senior level leader within Operations responsible for the oversight of Cash Management, Cash Sweep Program and Margin Departments.  These functions are located in Fort Mill, San Diego and with our offshore vendor.  The Vice President is accountable for execution of the overall functional strategy and goal setting, while also ensuring alignment with department and organizational initiatives with a focus on risk management and production standards.   The Vice President must possess strong communication, time management, organizational, and analytical skills with a good eye for identifying and understanding firm risk and regulatory guidelines as well as client experience.  An ideal candidate will have a strong background in brokerage/financial services with specific experience in back office operations of Cash Management and Risk Management related functions.

Specific Responsibilities include:

  • Develop, prioritize and execute a roadmap for the strategic vision of organization and department 
  • Utilize key operational and transactional data to derive actionable insights that will improve operational performance and advisor experience.  Make improvement recommendations (supported by data and metrics) to Executive Leadership Team
  • Evaluate and communicate to senior management, trends and emerging issues affecting current business strategies and indicate new strategic opportunities
  • Consistently develop people through coaching, rewards and recognition, and providing experienced based developmental opportunities
  • Partner with other leaders from across the firm to achieve goals and initiatives.

What we want to see in you:

  • You thrive and excel in a very fast paced environment
  • You can think strategically and have a good eye for what may be coming.
  • You make well educated decisions, that are fact based and metrics driven to realize goals and objectives
  • You have experience managing risk, both regulatory and firm based.
  • You can communicate effectively with other areas of the firm, specifically senior leadership from Service Center, Compliance, Legal, Risk, Technology and Internal Audit.
  • You have at least 10 years of experience relating to Broker/Dealer Operations and have your series 7, 66, & 24 or can achieve exams within 90 days of hire.
  • You lead and develop your leadership team and promote personal and career growth across your organization.

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