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Advisory Supervision Manager

Job ID: R-010154 Date posted: 05/20/2020 Primary Location SC-Fort Mill Other Locations CA-San Diego

The Compliance Manager of Advisory Supervision, within Central Supervision, is responsible for the administration of Advisory Supervision Principals engaged in the front-line review of advisory supervision tasks for LPL Financial Advisors and OSJ Managers.

The Advisory Supervision Manager will be responsible for leading and developing a staff of subject matter experts, in addition to coordinating and strategically executing the oversight functions of Advisory Supervision.  This position will also include responsibility for leading special projects as defined by the management team and collaborating with employees at all levels throughout the firm.

Essential Functions:

  • Staff Management - Responsible for hiring, training, and motivating staff. The Manager will provide ongoing support, coaching, feedback and developmental opportunities to address staff needs in order to engage them and help them be more effective and successful. The Manager will conduct staff meetings, team meetings, and one on one meetings in addition to goal setting and conducting employee evaluations, criteria’s which include quality control and oversight.
  • Service Management – Must handle escalations and maintain positive relationships with Advisors, OSJ Managers and internally throughout the firm.
  • Execute Quality Assurance reviews of corresponding Advisory Supervision tasks on a periodic basis.
  • Drive and coordinate operational and consistency enhancements for department quality processes, capacity modeling, and reporting. Lead production of periodic reporting, identify opportunities and implement enhancements to process.
  • Provide second-level supervision for complex and escalated issues arising out of department activities

Other Job Duties:

  • Interact appropriately and confidently with Senior Management.
  • Prioritize tasks and project management
  • Serve as a key contact for internal departments, such as Operations, Service Center, Legal and various departments across Compliance, Legal, and Risk (CLR).
  • Anticipate the needs of LPL Financial and the CLR organization in order to be able to define next steps with projects and other functions and be able to independently drive/execute projects.
  • Identify specific regulatory issues, the application of regulatory requirements, and provision of advice on these rules and create and maintain internal policies, controls, etc.
  • Identify and report significant gaps in policy, procedure and controls to management, while offering corrective actions for consideration and implementation.

Qualifications:

  • Undergraduate degree in Business, Accounting, Finance, or related discipline
  • Series 7, 66 (or 63 and 65), 24 (or 9 and 10) required
  • Series 4 and 53 required or must pass within 90 days of employment
  • 5-7 years’ experience in compliance and regulatory matters
  • Prior leadership/team management experience preferred
  • Strong knowledge of advisory relationship regulations
  • Strategic thinker who can provide thought leadership for supervisory processes and associated advisor policies and procedures, including active participation in various cross-organizational committees
  • Strong industry acumen, self-starter and the ability to work with minimal supervision
  • Ability to multi-task, prioritize, problem solve, trouble shoot and follow-up are essential in this role
  • Ability to define problem areas and analyze risk for LPL Financial and develop policy, procedure and controls to effectively supervise and mitigate said risk
  • Must work well under competing deadlines and possess strong organizational skills
  • Excellent oral and written communication skills
  • Strong knowledge in all Microsoft applications, particularly, Excel, Word, Access, and PowerPoint.  Familiarity with BETA a plus.

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 4,200 employees with primary offices in Boston, Charlotte, and San Diego.

*As reported by Financial Planning magazine, June 1996-2019, based on total revenue.

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 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 @lpl.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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