What are the responsibilities and job description for the AVP, Employee Investigator position at LPL Financial?
Job Overview:
We are currently looking to hire a Senior Employee Investigator to join our HR Compliance team within Human Resources. This role will be Office Independent (Remote). Our Sr. Employee Investigator will be the first point of contact for the customer to provide consultation, investigate and support on employee relations matters. This role will help ensure a fair and consistent approach and response aligned with company practices, policies, procedures and legal requirements.
Responsibilities:
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.
Requirements:
$94,388-$157,313/year
Actual base salary varies based on factors, including but not limited to, relevant skill, prior experience, education, base salary of internal peers, demonstrated performance, and geographic location. Additionally, LPL Total Rewards package is highly competitive, designed to support your success at work, at home, and at play – such as 401K matching, health benefits, employee stock options, paid time off, volunteer time off, and more. Your recruiter will be happy to discuss all that LPL has to offer!
Company Overview:
LPL Financial Holdings Inc. (Nasdaq: LPLA) was founded on the principle that the firm should work for advisors and institutions, and not the other way around. Today, LPL is a leader in the markets we serve, serving more than 23,000 financial advisors, including advisors at approximately 1,000 institutions and at approximately 580 registered investment advisor ("RIA") firms nationwide. We are steadfast in our commitment to the advisor-mediated model and the belief that Americans deserve access to personalized guidance from a financial professional.
At LPL, independence means that advisors and institution leaders have the freedom they deserve to choose the business model, services, and technology resources that allow them to run a thriving business. They have the flexibility to do business their way. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors and institutions, so they can take care of their clients.
Join LPL Financial: Where Your Potential Meets Opportunity
At LPL Financial, we believe that everyone deserves objective financial guidance. As the nation’s leading independent broker-dealer, we offer an integrated platform of cutting-edge technology, brokerage, and investment advisor services.
Why LPL?
Information on Interviews:
LPL will only communicate with a job applicant directly from an @lplfinancial.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 (855) 575-6947.
EAC1.22.25
We are currently looking to hire a Senior Employee Investigator to join our HR Compliance team within Human Resources. This role will be Office Independent (Remote). Our Sr. Employee Investigator will be the first point of contact for the customer to provide consultation, investigate and support on employee relations matters. This role will help ensure a fair and consistent approach and response aligned with company practices, policies, procedures and legal requirements.
Responsibilities:
- Consult and coach HR team members and managers on company policy interpretation and investigations and provide solution-oriented recommendations and partner with the HRBP in the execution of solutions.
- Records and analyzes HR data as needed to identify trends, provide recommendations, and develop action plans.
- Review and update current investigation protocols and tools in partnership with fellow team members and key stakeholders to enhance the investigation process for all involved.
- Create and deliver training related to investigative techniques in partnership with Legal for HR team members and other stakeholders.
- Partner closely with Legal team members to fully investigate and recommend corrective actions in alignment with company policies and procedures.
- General administrative duties such as scheduling, calendaring, word processing, data entry, email, scanning and copying.
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.
Requirements:
- Bachelor's degree required, prefer HR, Psychology, Business or similar
- Minimum of 7 - 10 years of experience in Employee Relations, Employee Investigations or HR Business Partner
- Knowledge of and experience with interpreting employment and labor laws
- PHR/SPHR preferred, but not required
- Knowledge of California employment laws and regulations, strongly preferred
- Experience working for a broker/dealer or in the Financial Services industry is strongly preferred
- Experience with training managers and employees on policies and procedures, and employee relations material
- Experience with managing employee relations cases from inception to resolution/completion
- Experience with conducting employment investigations and working with legal counsel on employment matters, as needed
- Experience with effectively managing and resolving conflict
- Experience with thriving in a fast-paced, deadline driven environment
- Strong verbal, written, and interpersonal communication skills
- Experience with collecting data and reporting on HR and/or Employee Investigations metrics
- Strong MS Office skills (Excel, Outlook, PowerPoint)
- Effective, active listening skills
- Deep analytical skills with demonstrated ability to work within the "gray" and make sound assessments and provide effective recommendations for varying situations/circumstances
- Demonstrated ability to work independently and across group settings with focus on adjusting to different work styles and personalities
- Rhetorically sensitive - knows what to say and when, as well as when to involve own manager
- Ability to prioritize workload, remain flexible, accept feedback and adjust accordingly under tight deadlines
$94,388-$157,313/year
Actual base salary varies based on factors, including but not limited to, relevant skill, prior experience, education, base salary of internal peers, demonstrated performance, and geographic location. Additionally, LPL Total Rewards package is highly competitive, designed to support your success at work, at home, and at play – such as 401K matching, health benefits, employee stock options, paid time off, volunteer time off, and more. Your recruiter will be happy to discuss all that LPL has to offer!
Company Overview:
LPL Financial Holdings Inc. (Nasdaq: LPLA) was founded on the principle that the firm should work for advisors and institutions, and not the other way around. Today, LPL is a leader in the markets we serve, serving more than 23,000 financial advisors, including advisors at approximately 1,000 institutions and at approximately 580 registered investment advisor ("RIA") firms nationwide. We are steadfast in our commitment to the advisor-mediated model and the belief that Americans deserve access to personalized guidance from a financial professional.
At LPL, independence means that advisors and institution leaders have the freedom they deserve to choose the business model, services, and technology resources that allow them to run a thriving business. They have the flexibility to do business their way. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors and institutions, so they can take care of their clients.
Join LPL Financial: Where Your Potential Meets Opportunity
At LPL Financial, we believe that everyone deserves objective financial guidance. As the nation’s leading independent broker-dealer, we offer an integrated platform of cutting-edge technology, brokerage, and investment advisor services.
Why LPL?
- Innovative Environment: We foster creativity and growth, providing a supportive and responsive leadership team. Learn more about our leadership team here!
- Limitless Career Potential: Your career at LPL has no limits, only amazing potential. Learn more about our careers here!
- Unified Mission: We are one team on one mission—taking care of our advisors so they can take care of their clients. Learn more about our mission and values here!
- Impactful Work: Our size is just right for you to make a real impact. Learn more here!
- Commitment to Equality: We support workplace equality and embrace diverse perspectives and backgrounds. Learn more here!
- Community Focus: We care for our communities and encourage our employees to do the same. Learn more here!
- Benefits and Total Rewards: Our Total Rewards package goes beyond just compensation and insurance. It includes a mix of traditional and unique benefits, perks, and resources designed to enhance your life both at work and at home. Learn more here!
Information on Interviews:
LPL will only communicate with a job applicant directly from an @lplfinancial.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 (855) 575-6947.
EAC1.22.25
Salary : $94,388 - $157,313
