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EVP, Head of Operations

Job ID: R-005569 Date posted: 01/09/2019 Primary Location SC-Fort Mill Other Locations CA-San Diego

As our Executive Vice President, Head of Operations, you will be responsible for the implementation and management of operational processes at LPL Financial. You will lead a dynamic and knowledgeable team of over 500 employees located in both Fort Mill, SC and San Diego, CA, along with a large contingency of offshore workers. Additionally, our current leadership team in Operations is made up of 5 Senior Vice Presidents and 1 Vice President, all who will report directly to you as the Head of Operations. The team is comprised of passionate individuals who focus on operational excellence and client experience across LPL, a self-clearing broker dealer.

Our EVP, Head of Operations is responsible for leading and orchestrating operational effectiveness, strategic planning, financial management, fraud, project management and employee engagement and across the Operations component of the Service, Trading and Operations organization at LPL and should be focused on delivering a superior advisor experience. The successful candidate will work closely with key stakeholders across the organization to establish, maintain and oversee LPL’s operations team.

Essential Functions:

  • Represent STO and serve as an ambassador for other Senior Leaders across the organization in various capacities, which may include advisor home office visits and speaking with regulators, vendors, recruits, etc.
  • Orchestrate strategic and operational plan development, promote a culture of high performance and continuous business process improvement that values learning and a commitment to quality, and drives efficiency using a proactive and anticipatory approach resulting in an enhanced advisor experience.
  • Manage a balanced budget and perform Senior management level activities including mentoring, coaching, strategy sessions, and conferences.
  • Participate in Financial Service Industry Committees that are relevant to our industry and would benefit LPL, such as SIFMA, DTCC, Alternative Investments, and Thomson Reuters and be knowledgeable in FINRA, SEC regulations.
  • Identify common service level standards for the various STO functions and assess related performance and report on and communicate organization performance and priorities to executive leadership in a variety of written and verbal presentation formats.
  • Demonstrate leadership and mentor-ship for direct reports across multiple sites and others, as well as with vendors and regulators and contribute to LPL Financial goals as an employer of choice by participating, supporting and advocating for key programs.
  • Drive organizational change management and engagement ensuring it is reinforced for effectiveness.
  • Assess staff talent and provide feedback for employee development and succession planning.
  • Facilitate and orchestrate group level strategies and plans regarding organizational design, talent development and metrics/KPIs.


  • Strategic thought leader and major business partner for development of enterprise-wide or business segment strategy.
  • Establish strategic goals and objectives for the ongoing leadership of a strong fraud surveillance program within LPL.
  • Collaborate with Compliance, Legal, Risk and Technology to develop a detailed, multi-year implementation roadmap.
  • Develop the business case and staffing model required to support the overall Fraud Program.

Operational/Execution Focus

  • Significant leadership skills, initiative, ability to identify tasks and develop plans, and able to identify risks that could have a material impact on the Company’s business.
  • Ability to work with and leverage external vendor partners, while understanding the role, value provided and when to engage with external auditor.
  • Understands and is able to develop and implement an audit framework that directly ties into the organization’s management framework and business goals.

Fact Based and Analytical Decision Making

  • Execution-oriented, both strategic and tactical, utilizes ‘fact based’ decision-making; delivers repeatable, sustainable results.
  • Able to view and analyze data, looking for key trends, insights and themes, and hone in on that data set to inform decision making.
  • Proven ability and skill set to understand and leverage data and data analytics, and to make recommendations, decisions, and fact-based presentations.
  • Able to effectively communicate results to employees and leaders at all levels.

Transformational Leadership

  • A leader who innovates and implements ‘best practices’, and understands the important role technology increasingly plays in the Company’s businesses.
  • Ability to articulate issues with a balance that accurately reflects the importance and materiality of each, with candor and without exaggeration.
  • Able to see both opportunities for improvement, with a focus on efficiency and effectiveness.
  • Willingness and ability to transform the Operations function as business and organizational needs evolve.
  • Seeks out, leverages and incorporates diverse perspectives; identifies new ways to approach a problem; an excellent listener who gathers data and feedback for consideration as an integral and key part of decision making.
  • Proven track record of leading successful operations’ areas including development of a team and building relationships across the organization.


  • Undergraduate degree in a related field; advanced level degree a plus
  • 15+ years Financial Services industry experience across several disciplines including but not limited to Operations, Compliance, Customer Service and Risk Management
  • Series 7 and 24 required
  • Ability to manage and lead geographically dispersed teams effectively in dynamic and fast paced environment
  • Experience leading and motivating a direct report and cross-functional team and influencing others outside of direct reporting relationship
  • Ability to work with and communicate effectively to various levels throughout the organization through daily interaction with LPL Financial Advisors as well as Senior and Executive Management across LPL
  • Ability to excel in a deadline driven, high-risk based environment, oversee and enforce Firm and regulatory requirements 
  • Problem solving skills that enable efficient identification of issues; structuring and execution of analysis; development of actionable recommendations; and implementation of those recommendations
  • Change leadership excellence and experience to include LEAN principles and experience in integrations, offshoring, and other changes to the business model
  • Excellent judgment, superior problem solving and negotiating skills
  • Ability to leverage others expertise and experience in identifying, evaluating and mitigating risks
  • Operates in a team environment with a focus on employee satisfaction
  • Self-reliant, results oriented
  • Holds oneself and team accountable for decisions, direction and deadlines
  • A natural forward planner who critically assesses own performance, that of the team and adjusts as needed
  • Mature, credible, trustworthy and comfortable dealing with senior executives
  • Software and systems skills required: Microsoft Excel, Microsoft Access, Microsoft Outlook, Microsoft Word and BETA – Books and Records (preferred)

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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