Mgr, Supervision

Talent Management

The Manager will provide ongoing support, coaching, feedback and developmental opportunities to address staff needs in order to engage them and help them be more effective and successful. The Manager will conduct staff meetings, team meetings, and one on one meetings in addition to goal setting and conducting employee evaluations including, but not limited to, quality control and task oversight.

Service Management

The Manager will engage and coordinate with Business Consultants and socialize concerns and escalated matters with senior leaders, as needed.

Production Management

The Manager must ensure staff adheres to service level agreements. The Manager will strategize on approach to build or change current processes / procedures, including resources needed, requirements with which to comply, timeline for implementation, and ways with which to actively supervise these processes.

Risk Management

• Utilizes risk based reporting to identify and ensure investigation of risk by advisor, branch, and/or territory.
• Analyzes, coordinates and defines risk for LPL in the scope of impending rule changes, business model needs, risk based mitigation approaches that may yield changes to functions, and departmental requirements.
• Understands and interprets rule requirements and the impact of their changes, updated policies and procedures, and the business needs of LPL, our advisors, and other departments.
• Must possess the ability to interpret federal and state regulations and develop and apply certain policies and procedures within the scope of the current regulatory environment in an attempt to mitigate risk and protect the firm.
• Must be able to communicate status and project outline to management and set the specific direction of a project, lead, and maintain an overall vision of the initiative/project.

Interact Appropriately and Confidently with Senior Management

The Manager must interact appropriately and confidently with Senior Management.

Prioritize Tasks and Project Management

The Manager must prioritize tasks and project management.

Serve as a Key Contact for Internal Departments

The Manager serves as a key contact for internal departments, such as Operations, Service Center, Legal and various departments across the enterprise.

Identify Specific Regulatory Issues, Application of Regulatory Requirements, and Advice on These Rules

The Manager must identify specific regulatory issues, the application of regulatory requirements, and provide advice on these rules.

Create and Maintain Internal Policies, Controls, etc.

The Manager must identify and report significant gaps in policy, procedure and controls to management, while offering corrective actions for consideration and implementation.

Requirements

• A minimum of 7 years’ experience in supervision, compliance and/or regulatory matters.
• Series 7, 9 and 10 (or Series 24); Series 4 & 53 required or must pass within 120 days of employment (for candidates with S24).
• Series 66 (or S63 and S65) Preferences.

Preferences

• Undergraduate degree in Business, Accounting, Finance, or related discipline.
• Prior leadership/team management experience preferred.

Pay Range

$81,267.00 - $135,445.00

Company Overview

LPL Financial Holdings Inc. (Nasdaq: LPLA) is among the fastest growing wealth management firms in the U.S. As a leader in the financial advisor-mediated marketplace(6), LPL supports over 32,000 financial advisors and the wealth management practices of approximately 1,100 financial institutions, servicing and custodying approximately $2.3 trillion in brokerage and advisory assets on behalf of approximately 8 million Americans. The firm provides a wide range of advisor affiliation models, investment solutions, fintech tools and practice management services, ensuring that advisors and institutions have the flexibility to choose the business model, services, and technology resources they need to run thriving businesses.