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Manager, Compliance

Job ID: R-004469 Date posted: 09/11/2018 Primary Location CA-San Diego

LPL Financial is looking to hire a Manager of Compliance for our Centralized Consulting Group within our Compliance, Legal and Risk Division. This is a full time position located at our San Diego or our Fort Mill corporate office.

The ideal candidate will manage 10 individuals in Compliance, Legal & Risk’s (CLR) Centralized Consulting Group (CCG) located in San Diego, CA. CCG is comprised of compliance professionals who are deployed to support resource and consulting needs within CLR due to volume spikes and attrition, lessening the dependence on contingent workers and outside consultants. The position requires excellent analytical, communication, and organizational skills, along with a passion for leadership, learning, and implementing new concepts related to compliance and the broker-dealer industry. 

Essential Functions:

  • Represent Centralized Consulting Group to the various business units in Compliance, Legal and Risk 
  • Review and assess Statements of Work from business units to determine status and allocation of resources
  • Collaborate and share knowledge with CLR business partners and CCG team members
  • Monitor performance and development of direct reports, including but not limited to ongoing communication of job expectations, organizational updates, training, support, feedback and guidance as necessary
  • Review performance data to monitor and measure departmental productivity, goal achievement, and overall effectiveness
  • Identify opportunities for team member’s development and provide coaching to encourage professional growth

Job Requirements:

  • Minimum of a Bachelor's degree or equivalent in business or related field
  • 3+ years of responsible leadership experiences in management or supervisory positions.
  • Effectiveness in this role requires strong leadership and decision-making abilities
  • Strong oral and written communication skills and the ability to work independently are required to identify problems and implement solutions in a team environment
  • Ability to inspire and motivate team members to meet targets and handle daily operations of the organization
  • Utilize technology to train and guide team members
  • Ability to learn and maintain professional and technical knowledge to serve as a resource for team members


Series 7, 24, and 66 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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  • Compliance, San Diego, California, United StatesRemove