VP-RegistrationsApply Job ID: R-024648 Date posted: 07/31/2022 Primary Location SC-Fort Mill Other Locations CA-San Diego
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.
We are currently seeking a Vice President for our Registrations team within the Compliance department of LPL’s Compliance, Legal and Risk (CLR) organization. This role requires an individual with strong communication, time management, organizational and analytical skills as a history of successful team member development and a a customer service attitude.
- Leadership of a dynamic organization impacting all aspects of onboarding people and locations for our advisors as well as our corporate resources.
- Provide strategic leadership to the department while managing the tactical day-to-day operations.
- Fostering and developing team members through coaching, recognition, and providing a work environment that is challenging and fosters personal and professional growth.
- Develop and utilize key operational and transactional data to derive actionable insights for our progress reengineering team(s).
- Partner with key business partners developing successful relationships to continue to evolve our service offerings and enable continued growth.
- Cultivate a strong culture of compliance centered around assuring a regulatory compliant program on all aspects of team activities.
What are we looking for?
We want strong collaboratorswho 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.
- Bachelor’s Degree or equivalent work experience in related field
- 3-5 years of people leadership experience
- Proven communication skills, verbal and written
- Extensive knowledge of the applicable State, FINRA, SEC, MSRB, and CFTC regulations related to the individual and site registration requirements.
- Previous experience in managing site and individual registration requirements.
- FINRA Series 7, 24
- Strong technical skills across various business applications including Excel, SmartSheets, Powerpoint, and others.
- Previous experience in managing Broker-Dealer and/or Investment Advisory individual and site registration requirements,
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.