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New Client Onboarding Manager

Job ID: R-014372 Date posted: 04/19/2021 Primary Location CA-San Diego

The Manager, New Client Onboarding role will lead a region on the New Client Onboarding (NCO) team, and will be responsible for the strategic direction and execution of all items associated with internal onboarding processes for Financial Institutions, Large Enterprises and all registered and non-registered clients joining LPL Financial.

The ideal candidate will have broad experience with LPL Financial functions, process and service along with previous experience in a direct people manager role.  In addition to direct people leadership and providing a world class client experience, this role includes ownership of strategic project initiatives. The candidate will also possess the ability to work with internal business partners as a high functioning participant or lead on initiatives as a key stakeholder.  They will need to drive efficiencies and procedural changes through strategic planning, communication and executing on the goals and initiatives of the department. This position will also require the ability to meet clients in person, participate in Home Office Visits and deliver on expected metrics.  The ideal candidate will thrive in a fast-paced environment, and be able to adapt quickly and easily to change.

Essential Functions:

  • Coach, mentor, motivate and lead NCO team members through positive influence, action and accountability for their assigned work. 

  • The candidate must be able to communicate concise and clear expectations to team members and stakeholders in a timely and organized fashion.

  • Ability to effectively lead staff through change management and execute on new procedures.

  • Key escalation point for staff, peer leaders and business partners to quickly identify and handle issues with limited direction from NCO leadership.

  • Ability to interact with and present to senior leadership with minimal oversight of VP or AVP.

  • Supports the discipline of planning, organizing, and managing resourcing, tools, and technology required to successfully complete specific project goals and objectives. Define scope, goals and deliverables in collaboration with advisors, senior management, and other applicable stakeholders

  • Estimate resources, participants and timelines needed to achieve department goals and determine need for additional staffing resources by reviewing individual and team utilizations. Assist NCO leadership in project assignment and actively work with business partners to forecast future volumes to ensure adequate department coverage. 

  • Partner with other business units to provide perspective and to support onboarding and assimilation of new Advisors into the firm, as well as maintain productive relationships in order to facilitate cross-organizational communications, coordination and transparency.

  • The Manager will have direct reports on the New Client Onboarding team that could include up to 3 levels (Assoc. Onboarding Consultant, Onboarding Consultant & Sr. Onboarding Consultant), and will address staff concerns, give and receive feedback, and support ongoing training of consultants.

  • Manager is responsible for Employee Engagement activities and accountable for direct team engagement levels.

  • Proactively assist in the recruiting process by working closely with Business Development and Business Transition Partners to ensure clear communication of commitments and expectations. Stay abreast of expected recruiting volumes to help ensure adequate coverage within the department.

  • Perform periodic Risk & Audit Reviews to identify potential risk concerns at the individual contributor level.

Other Job Duties

  • Develop and track metrics to help department leadership understand onboarding volumes, average project duration, and activity tracking.

  • Serve as the subject matter expert by participating in Home Office Visits with prospects, providing onsite support to large enterprise or institution conversions, and providing consultation around NCO processes and best practices.

  • Act as key stakeholder for ClientWorks reporting and additional technology related enhancements and firm wide systems, representing NCO and providing internal updates and communication as changes are executed in production environment.


  • Bachelor's Degree in a Related Field preferred or work experience equivalent

  • 5-7 years of onboarding experience required

  • Series 7, 24, 65, 66 licenses preferred

  • Microsoft Power Point, Excel, and Word required

  • Microsoft Project, Access & Visio experience preferred

  • Flexibility to travel as required for onsite support

  • Self-motivated team player

  • Excellent verbal and written communication skills

  • Superior Service Skills demonstrated through previous feedback

  • Positive attitude and ability to adapt to various situations

  • Comprehension of Oracle system and Business Technology applications related to Brokerage and Advisory operations preferred

  • Salesforce comprehension preferred

  • Internal Home Office Visit accreditation required (within 90 days of joining) 

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

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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 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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