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AVP, Employee Relations

Job ID: R-024749 Date posted: 08/11/2022 Primary Location CA-San Diego Other Locations CA-Remote

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!

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:

Oversee employee relations matters for the assigned business unit(s), by providing guidance to managers and HRBPs about escalated performance matters, issues with LOAs/accommodations, and general complaints, and conducting investigations where appropriate.


  • Consult and coach employees/managers on employee relations matters including relevant laws, regulations, policies and/or practices, escalated performance matters and corrective action. 

  • Assist managers with drafting written counseling's, performance improvement plans and communications, where needed. Consults and advises employees and managers on LOA/workplace accommodation matters including, but not limited to: statutory leave; discretionary, non-statutory leave; disability and religious accommodation, and management of performance.  

  • Respond to Whistleblower & Integrity Hotline complaints assigned to ER, and conduct investigations as needed

  • Develop and implement best practices for workplace investigations, partner with Legal to develop and provide training on investigations for the ER team, and operate as the point of contact within ER for Internal Audit and Compliance/Legal/Risk on investigative matters and report-outs.

  • Ensure operational consistency by monitoring and reviewing ER team’s investigations and strategies for responding to ER inquiries

  • Assist with ER reporting – analyze data, identify trends/patterns and work with the HRBPs and the business to recommend solutions

  • Conduct needs assessment, design and deliver employee relations training for managers as needed, in partnership with the HRBPs and Learning & Development COE Partner with internal and external counsel as needed


  • Bachelor's degree required, and Master’s degree preferred in the areas of HR, psychology, English, journalism, communication, business or similar
  • Minimum of 3-5 years of experience in conducting workplace investigations
  • Minimum of 5 years of experience in HR/Employee Relations, guiding managers, HRBPs and employees, through challenging, and sometimes contentious situations
  • Minimum of 8 years of experience as an Employee Relations/HR manager or specialist, in a high-volume, fast-paced environment
  • HR experience in drafting and delivering written counseling's and performance improvement plans
  • HR experience with conflict resolution and diffusing employee/worker related issues, concerns and situations
  • Knowledge of and experience with California employment law required


  • HR Certification and/or PHR/SPHR certification preferred
  • HR experience working for a broker/dealer or in the Financial Services industry, preferred
  • Knowledge of and experience with interpreting and keeping abreast of federal, state and local employment and labor laws
  • HR experience with training managers and employees on policies, procedures and employee relations material, and with delivering Employee Relations presentations to a variety of audiences

Core Competencies:

  • Strong strategic, critical thinking and analytical skills
  • Experience with HR/ER case management systems, metrics and reports
  • HR experience with managing and supporting statutory (federal/state) leaves of absence and ADAAA/Cal-FEHA/Title VII disability and religious workplace accommodations, required
  • HR/Employee Relations experience with managing employee relations cases from inception to resolution/completion
  • HR experience with conducting complex workplace investigations and working with legal counsel and the business on recommended course of action

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 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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