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AVP, Special Investigations Unit

Job ID: R-003665 Date posted: 06/28/2018 Primary Location CA-San Diego

The Assistant Vice President will report to the Vice President of the Special Investigations Unit (SIU).  The position will be located at one of LPL’s offices in Ft. Mill, South Carolina (Metro Charlotte) or San Diego, California.   SIU is situated within LPL’s Legal Department and works closely with the firm’s Regulatory, Litigation and Whistleblower groups.  The unit investigates matters involving potentially significant misconduct by financial advisors and employees, proactively identifies potential areas of exposure within the company, and provides advice to senior management and appropriate firm committees.

The successful candidate will have a deep understanding of broker dealer regulations and be responsible for conducting and coordinating investigations, providing investigative findings to the appropriate parties, identify risk areas and gaps.  Additional responsibilities include conducting presentations, interfacing with regulators, law enforcement officials, and other LPL departments.  The successful candidate will also provide intake, coordination and referral for the Whistleblower & Integrity Ombudsperson, as well as track, create and provide metrics for that group.

Key Responsibilities Include:

  • Conduct and coordinate, internal investigations
  • Report metric evaluations to oversight committees
  • Act as a liaison with other LPL departments and coordinate investigative efforts with other units
  • Identify and recommend proactive fraud reduction measures to SIU management
  • Conduct intake, referral and tracking for the Whistleblower & Integrity program
  • Create metrics for the Whistleblower & Integrity program
  • Provide training to other LPL departments as needed

Qualifications:

  • The successful candidate will have substantial (7 years +) hands-on experience in a Special Investigations Unit (or equivalent) at a financial services firm or a law enforcement agency, investigating matters involving fraud, theft, schemes to defraud, etc.
  • Deep understanding of the financial services regulatory framework, the rules and regulations particular to  broker dealers
  • Excellent oral communication skills, including substantial experience in conducting interviews
  • Excellent writing skills
  • Strong skills in MS Office; Excel, Access, Outlook, Word, PowerPoint, etc.
  • Ability to travel as needed
  • A college degree is required, a law degree is desirable as is the Certified Fraud Examiner (CFE) designation, or equivalent

Series 7 and/or Series 24 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 3,700 employees with primary offices in Boston, Charlotte, and San Diego.

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 login or create an account to apply to this position. Principals only. EOE

*As reported by Financial Planning magazine, June 1996-2017, based on total revenue.

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