SVP, Head of Institution Services Supervision

LPL Financial is seeking a Senior Vice President of Supervision responsible for the supervision of our Institution Services (IS), bank and credit union, clients. As a trusted leader, you will drive outcomes, lead cross-functional teams, and contribute protecting the practice of our institution clients. The ideal candidate for this role has a combination of business acumen, wealth management experience, an entrepreneurial mindset, financial products, and knowledge of rules and regulations while leading cross functional teams. You will have the opportunity to scale the supervision team while simultaneously improving the client experience. The candidate will be responsible for leading a team of over 100 supervisory principals and will have direct contact with our IS clients to ensure that we are protecting their practice.

In this role the SVP will have responsibility for:

• Effectively leads a team of supervisory principals and managers with strategic vision, operational excellence and ownership mentality at the forefront of everything they do
• Responsible ensuring that performance metrics are being leveraged and applied consistently to continuously coach supervisory principals
• Develop roadmaps, plans, and metrics that communicate progress, risks, issues, and approach to execution that support continuous learning and improve outcomes. Sets a high bar for results through repeatable, scalable processes
• Provides leadership and counsel to IS Programs to ensure that supervision is seamless with a goal of making it easy for these programs to comply
• Partners proactively with key business partners, legal and compliance to maintain an effective control structure and suggests way to mitigate risk as needed
• Acts as an agent of change by identifying opportunities, translating vision into strategy, bringing stakeholders along in the process, and turning strategies into specific action plans.
• Oversees and evaluates day-to-day operations and makes enhancements as needed
• Leads efforts to design and implement a roadmap for operational success, and ensures it is followed and updated consistently.
  
  
  

Job Requirements:

• Undergraduate degree in Business, Accounting, Finance or related discipline is preferred
• 7 year’s industry experience
• Substantive product knowledge including annuities, structured products, advisory platforms and alternative investments is required
• Knowledge of supervisory rules and regulations is preferred
• Licenses/Certifications Required: Series 7, 9 and 10 (or Series 24). Series 66 (or S63 and S65) preferred.
• Experience with all Microsoft applications, particularly, Excel, Word, Access, PowerPoint, SharePoint, and Visio.
  
  
  

Pay Range:

$167,500.00 - $279,100.00

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!

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.

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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 @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.