AVP, Registrations ServicesApply Job ID: R-023470 Date posted: 06/21/2022 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.
The Registration AVP is responsible for leading for building and maintaining an efficient customer service oriented team while reducing regulatory risk and exposure. The AVP will be expected to execute against the department goals in alignment with the strategic company priorities The AVP supports the Registration management team and staff that processes insurance and securities registration/licensing of LPL advisors. The AVP is responsible to analyze current workflows and processes to identify any gaps as well as devising solutions to ensure the organization is meeting regulatory and firm requirements.
- Creates a team environment that encourages and inspires sharing of best practices and seeks new ideas
- Keeping risk exposure to a minimum for the department and firm. This includes ensuring all regulatory driven processes are completed within regulatory timelines.
- Proficient with understanding FINRA and state registration regulations and how they pertain to departmental functions.
- Facilitate cooperation and improvement with partnering departments. Create an environment of collaboration focused on process improvement and efficiencies.
- Attend, implement and exhibit leadership development program components
- Provides constructive, meaningful, timely and actionable feedback to maintain and improve results
- Works closely with team members to create meaningful goals and provide feedback to facilitate higher levels of performance and support employee career development
- Creates a climate in which people want to do their best; empowers others; delegates tasks and instills the importance of their work
- Take lead on project initiatives and be a spokesperson for the department and firm.
- Thinks innovatively and looks beyond accepted practices for fresh perspectives
- Collaborate across the firm to maintain alignment on vision, strategy, and performance to goals, approaching strategy with an entrepreneurial mindset, leveraging critical thinking to increase the value proposition of assigned products and programs.
- Drive decision-making for the business and demonstrate persistence in raising issues to the proper levels for attention and driving transparency at all levels surrounding program execution.
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.
- Bachelor’s degree or higher
- 5+ years of experience leading teams and experience in financial services, insurance, or a related financial organization.
- Series 99, 7, SIE preferred but not required
- Strong software/systems proficiency skills including Microsoft Office suite.
Additional Desired Skills
- Strong attention to detail with a proactive approach to solving and preventing problems
- Strong people leader and ability to motivate others
- Ability to communicate effectively with upper management
- Excellent verbal and written communication skills
- Ability to work under pressure/deadlines and manage multiple priorities.
- Excellent time management and organizational skills
- Highly motivated and able to strategically pivot in order to adapt to changing priorities.
The Compliance, Legal & Risk (CLR) team is focused on delivering an industry-leading client service and risk management experience by providing advisors and our internal business partners with proactive guidance, advice, advocacy and consultative partnerships.
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.