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VP, Home Office Supervision

Job ID: R-000980 Date posted: 10/03/2017 Primary Location CA-San Diego

The Vice President (VP) of Home Office Supervision (HOS) will be responsible for the overall management, success and strategy of a HOS supervision team within Business Risk Management. The HOS Team is a consultative supervision team that is responsible for the firm’s supervision of investment products and ensuring adherence to LPL, state, federal and industry rules and guidelines.

The VP will be actively engaged in daily leadership of a team of managers and registered principals and for helping to execute the strategy needed to develop and maintain a robust, proactive and effective supervisory model. The candidate must be knowledgeable in the features and risks of investment products and be able to proactively work with internal teams, advisors and business partners to ensure effective product supervision. . Additionally, the VP will support the unique objectives of our advisors by offering consultative services with the end goal being to help our advisors effectively manage risk and enhance their businesses models.

The VP must be skilled and experienced in engaging in high-level discussions with advisors, investors and senior leaders. Additionally the candidate must understand, utilize, and stay current with industry best practices, financial markets, the regulatory environment, and the competitive landscape to optimize results

Essential Functions:

  • Initializing, driving and institutionalizing a sustained and focused effort to enhance risk and controls and achieve high quality standards
  • Supporting management and staff in executing on the core supervision performed by these groups.
  • Identifying common service level standards and ensuring there is accountability for  standards while assessing related performance
  • Using data analysis and metrics to help develop a more proactive and anticipatory approach to risk management. Ensure ongoing analysis of risks, vulnerabilities, and market trends. Determine potential impact on the organization’s risk posture
  • Evaluating HOS  impact on the overall LPL control environment
  • Will be responsible for working with individuals from staff to executive level in the various support units within LPL Financial including Technology, Operations, and the Compliance Legal Risk organization to complete the various functions above, providing education and direction necessary to enable a culture of compliance.
  • Experience interfacing with regulators and possess the ability to effectively assess control platforms to identify potential areas of weakness or opportunity.


  • 8+ years of industry experience (preferably financial services) in internal audit, compliance, risk management and/or other internal control disciplines
  • Strong overall business acumen (preferably risk and supervision experience)
  • Ability to aggregate, analyze and interpret control environment related data and to communicate effectively to executive management
  • Minimum - Bachelor’s Degree in Finance or related field
    • MBA and/or Juris Doctorate a plus
  • FINRA Series 7, 24 and Series 63/65 or Series 66
  • FINRA Series 9/10 or Series 4 & 53
  • Extensive knowledge of the regulatory and supervisory policies as they relate to meeting reasonable standards of control policies.
  • Ability to effectively analyze situations, applying solutions to achieve resolution
  • Up to 25% travel may be needed

Soft Skills Required:

  • Excellent verbal and written communication skills
  • Personable and reliable self-starter who requires minimal management oversight for day-to-day work responsibilities
  • Strong attention to detail with a pro-active approach to solving and preventing problems
  • Ability to work under pressure/deadlines and manage multiple priorities
  • Ability to interface effectively with all levels of management
  • Exceptional interpersonal and partnership skills and the ability to positively influence outcomes, particularly in difficult matters
  • Strong time management and organizational skills
  • Highly motivated and able to adapt to changing priorities

Our Company:

LPL Financial, the nation’s largest independent broker/dealer since 1996* and the fourth largest broker/dealer overall, serves as an enabling partner to more than 14,000 independent financial advisors and approximately 700 financial institutions. Since its formation decades ago, LPL has focused on one primary mission -- enabling independent financial advisors to bring objective and un-biased financial advice to millions of Americans. 

Headquartered in Boston, San Diego, and Fort Mill, and powered by more than 3,300 client-centric employees, LPL is financially strong and growing.

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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