Manager, Registrations

About the role

At LPL, people leaders hold the key to the employee experience — shaping culture, driving performance, and guiding individuals to new heights. The Manager, Registrations leads a team responsible for the licensing, appointment, and registration of financial professionals and firms. This role ensures compliance with state Departments of Insurance (DOI), FINRA, SEC, and state securities and investment advisory regulations.

Responsibilities

• Manage and mentor a team of registration specialists, fostering a collaborative and high-performing environment.
• Oversee the appointment process for LPLE and LPLF, registration processes for new and existing financial advisors, representatives, and firms with FINRA, SEC, and state regulatory bodies.
• Ensure timely and accurate submission of all required appointment requests, registration forms (e.g., U4, U5, BD, BR) and supporting documentation.
• Develop and implement efficient workflows and procedures for registration activities, identifying areas for process improvement and automation.
• Stay current with evolving FINRA, SEC, and state regulations related to licensing and registration, and translate these changes into actionable internal policies and procedures.
• Collaborate with legal, compliance, and other internal departments to address complex registration issues and provide expert guidance.
• Conduct regular audits of registration records to ensure accuracy, completeness, and compliance.
• Prepare and present reports on registration status, trends, and compliance metrics to senior management.
• Assist in the development and delivery of training programs for advisors and internal staff on registration requirements and best practices.
• Respond to inquiries from regulatory bodies, internal stakeholders, and financial professionals regarding registration matters.

Requirements

• Knowledge of FINRA, SEC, and state securities regulations related to broker-dealer and investment adviser registration.
• Leadership and team management skills with a proven ability to motivate and develop staff.
• Analytical, problem-solving, and decision-making abilities.
• Written and verbal communication skills, with the ability to articulate complex regulatory information clearly.
• Proficient in Microsoft Office Suite (Word, Excel, PowerPoint) and experience with registration platforms (e.g., FINRA CRD/IARD).
• Ability to work effectively in a fast-paced, highly regulated environment.

Preferred

• Bachelor's degree in business administration, Finance, or a related field.
• 5+ years of experience in financial services, with at least 2 years in a leadership or supervisory role within registrations, licensing, or compliance.
• FINRA Series 7 and Series 24.

Pay

$81,267.00 – $135,445.00. Actual base salary varies based on factors including relevant skill, prior experience, education, base salary of internal peers, demonstrated performance, and geographic location.

Benefits

• 401K matching
• Health benefits
• Employee stock options
• Paid time off
• Volunteer time off