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The health and safety of our employees and candidates is very important to us. Due to the current situation related to the Novel Coronavirus (COVID-19), we’re leveraging our digital capabilities to ensure we can continue to recruit top talent at LPL Financial.As your application progresses, you may be asked to use one of our digital tools to help you through your recruitment journey. If so, one of our recruiters will explain what type of interviewing technology will be used throughout the recruitment process and will be on hand to answer any questions that you have. You can also email us at
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VP, Trading Desk Service

Job ID: R-016995 Date posted: 10/14/2021 Primary Location CA-San Diego Other Locations SC-Fort Mill

The Vice President of Trading for Annuity and Alternative Investments will be the senior level leader responsible for the oversight of operational and service support for these online trading platforms. The Vice President is accountable for execution of the overall functional strategy and goal setting, with an emphasis on driving client experience improvement, risk management and operational excellence.  An ideal candidate will have a strong background in brokerage/financial services with specific experience in service, operations and trading functions related to annuity and alternative investments.

Specific Responsibilities include:

  • Oversight of Annuity and Alternative Investment Service Desks located in Ft Mill, San Diego and with offshore vendor.
  • Provide strategic leadership to the department while also monitoring daily operations.
  • Utilize key operational and transactional data to derive actionable insights that will improve operational performance and advisor experience.
  • Evaluate trends and emerging issues affecting current business strategies and surface new strategic opportunities
  • Make improvement recommendations (supported by data and metrics) to Executive Leadership Team
  • Develop, prioritize and execute a roadmap for the strategic vision of organization and department. 
  • Ownership and strategic management of vendor and carrier/sponsor relationships.
  • Assume leadership role within industry working groups to represent LPL interests.
  • Oversee project management of system enhancements up to and including successful implementation and communication with advisor population.
  • Consistently invest in the development of direct leadership team and broader staff through coaching, rewards and recognition, and providing experienced based developmental opportunities.
  • Strategize, implement and monitor ongoing supervision infrastructure.
  • Collaborate with Executive Leadership team to create and monitor an ongoing “lean” workplace.
  • Work closely with internal business units to reduce hand-offs and maintain a best practices and efficiencies process between teams.
  • Collaborate with other leaders from across the firm to achieve goals and initiatives.

What we want to see in you:

  • You thrive and excel in a very fast paced environment
  • You can think strategically and have a good eye for what may be coming
  • You make well educated decisions, that are fact based and metrics driven to realize goals and objectives
  • You have experience managing risk, both regulatory and firm based
  • You can communicate effectively with other areas of the firm, specifically senior leadership from Service Center, Compliance, Legal, Risk, Technology and Internal Audit
  • You have at least 10 years of experience relating to Broker/Dealer Operations and have your series 7, 63 and Insurance licensing or can achieve exams within 90 days of hire
  • You lead and develop your leadership team and promote personal and career growth across your organization

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 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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