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VP, Head of Surveillance

Job ID: R-012440 Date posted: 01/12/2021 Primary Location SC-Fort Mill Other Locations CA-San Diego

Do you have a passion for …

innovation and developing new approaches to monitor for risk?

Would you like to …

build and manage the next generation of surveillance capabilities for a top wealth management firm?

Have you …

led a key compliance function and are looking for a chance to build a best-in-class monitoring program and grow your career?

Excited to learn more? If so, then this could be the role for you! 

Job overview:

The VP, head of Surveillance will report to the SVP of Compliance Monitoring & Analytics and be responsible for leading a team tasked with protecting the firm through second-line of defense compliance monitoring of financial advisor sales practices and related activities. 

What will you do?

  • Enhance the capabilities of the team to provide best-in-class risk mitigation controls for the firm, including performing risk assessments, and designing and optimizing surveillances to detect and predict potentially problematic trends and behaviors
  • Working with our product management, technology and analytics teams, innovate on new ways to make surveillance processes more effective and efficient
  • Evolve the team’s role as a consultative partner to business units and advisors
  • Continue to build and develop a high performance, diverse, and digitally savvy team

Please note: Additional responsibilities or duties may be assigned to you as needed or determined.

What does your success look like in the first 90 days?

In the first 90 days success would include:

  • A detailed understanding of the Surveillance Program, which includes the scenario inventory, governance framework, quality control program, existing business management processes and engagement in any projects that require the input or partnership of Surveillance.
  • An understanding of how the Surveillance Program supports the firm through the second line of defense, which includes the early establishment of a foundational network with stakeholders from Compliance, Business Risk Management and Legal organizations.
  • An understanding of the talent within your organization, which includes a grasp of the performance management structure of the firm and how each employee has performed to it previously and gather feedback from the organization on ‘What’s Working’ and ‘What’s Not Working’ in order to sustain engagement.
  • A formal plan outlining high level deliverables and timelines for execution over the next 6-12 months, including the key initiatives that support the Surveillance Program’s Objectives and Key Results (OKRs).

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

What skills, experiences, and education are required?

  • 7+ years financial services industry experience, with significant experience in leadership roles in broker-dealer and investment adviser compliance, supervision, risk, or legal/regulatory
  • Ability to be execute large initiatives at scale
  • Innovative and strategic thinker
  • Problem solving skills that enable thorough and efficient identification of issues, structuring and execution of analysis, development of actionable recommendations, and implementation of those recommendations
  • Ability to manage and lead geographically dispersed teams effectively in a dynamic and fast paced environment
  • Bachelor’s degree required; additional degrees (JD, MBA) a plus; securities licenses (7, 24) preferred

About CLR

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

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

Want to see info on our benefits?  Learn more here

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 @lpl.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.

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