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AVP, Governance, Strategy & Reporting

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Job ID R-025455 Date posted 09/14/2022 Primary Location CA-San Diego Other Locations SC-Fort Mill

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:

The Surveillance department within LPL’s Compliance, Legal, and Risk organization is looking for an Assistant Vice President, Governance, Strategy & Reporting.  LPL’s Surveillance team is responsible for performing sales practice trend and pattern research and trade-related surveillance in accordance with federal, state, and industry regulations as part of LPL’s Surveillance Program.  In this role the AVP will support the VP and the department by overseeing the Governance, Strategy & Reporting routines to ensure the execution of critical priorities.

A strong AVP candidate will have the ability to ingest data, provide insights and recommendations from the data, create and deliver executive presentations, and manage staff that will support these efforts.  In addition the AVP will be responsible for working with stakeholders throughout the department to ensure alignment of priorities, completion of tactical efforts and workstreams, and drive progress toward program strategic goals.  There will be consistent engagement with the team’s leadership to develop the resource allocation plan for the department, orient the team priorities, and support broader management needs via ad-hoc projects.

Responsibilities:

•             Collect, analyze, and report on relevant business, industry, and product data to provide actionable insights and recommendations to stakeholders across CLR.

•             Develop executive-level presentations, as well as lead and participate in management-level meetings;

•             Develop, monitor, and routinely report on the governance program for the department.  These routines include Books & Records, Quality Control, Risk Assessments, etc.

•             Work with VP to complete Internal Audit requests

•             Maintain awareness of industry news, and changes in the business or regulatory landscape, firm policies, and departmental processes

•             Develop and maintain an inventory of Surveillance projects and initiatives in which the awareness and involvement of the VP is essential

•             Develop a regular cadence of metrics and reporting in support of operational and strategic goals and vision

•             Support management efforts in regard to employee engagement and continuous improvement, helping to promote an energetic and positive workplace for Surveillance employees

•             Complete ad-hoc assignments that assist in the development and implementation of strategies and new processes;

•             Manage projects that span across the department;

•             Develop strong working relationships across the enterprise to enable a clearly defined mutual understanding of risks and opportunities while also achieving close alignment on business needs; and

•             Leverage these self-cultivated relationships, business acumen, and confidence to indirectly lead others, drive for results and ensure business goals and objectives are met in a timely, efficient, and risk-conscious way.

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, preferably in Business Administration or related field, is required; Master’s degree a plus;

•             5+ Financial Services industry experience required; 3+ years of experience in a compliance or risk management role;

•             Securities licenses (Series 7, Series 24) preferred

•             Strong analytical skills with experience in performing complex research, and the ability to communicate findings and results with solid written, verbal and presentation skills

•             Skilled in project management, and developing data-driven roadmaps, with an understanding of governance routines.

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 @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.

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