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LPL Financial

- NASDAQ:LPLA
Last Updated 2019-07-19

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Ticker Symbol Entity Name Domain As Of Date Title URL Brand Category Location Text City State Country Posted Date Number of Openings Description Date Added Date Updated Ticker Sector Ticker Industry
nasdaq:lpla careers.lpl.com careers.lpl.com Jul 18th, 2019 12:00AM EVP, Head of Operations Open LPL Financial Fort Mill SC USA Jan 9th, 2019 12:00AM

As our Executive Vice President, Head of Operations, you will be responsible for the implementation and management of operational processes at LPL Financial. You will lead a dynamic and knowledgeable team of over 500 employees located in both Fort Mill, SC and San Diego, CA, along with a large contingency of offshore workers. Additionally, our current leadership team in Operations is made up of 5 Senior Vice Presidents and 1 Vice President, all who will report directly to you as the Head of Operations. The team is comprised of passionate individuals who focus on operational excellence and client experience across LPL, a self-clearing broker dealer.

Our EVP, Head of Operations is responsible for leading and orchestrating operational effectiveness, strategic planning, financial management, fraud, project management and employee engagement and across the Operations component of the Service, Trading and Operations organization at LPL and should be focused on delivering a superior advisor experience. The successful candidate will work closely with key stakeholders across the organization to establish, maintain and oversee LPL’s operations team.

Essential Functions:

  • Represent STO and serve as an ambassador for other Senior Leaders across the organization in various capacities, which may include advisor home office visits and speaking with regulators, vendors, recruits, etc.
  • Orchestrate strategic and operational plan development, promote a culture of high performance and continuous business process improvement that values learning and a commitment to quality, and drives efficiency using a proactive and anticipatory approach resulting in an enhanced advisor experience.
  • Manage a balanced budget and perform Senior management level activities including mentoring, coaching, strategy sessions, and conferences.
  • Participate in Financial Service Industry Committees that are relevant to our industry and would benefit LPL, such as SIFMA, DTCC, Alternative Investments, and Thomson Reuters and be knowledgeable in FINRA, SEC regulations.
  • Identify common service level standards for the various STO functions and assess related performance and report on and communicate organization performance and priorities to executive leadership in a variety of written and verbal presentation formats.
  • Demonstrate leadership and mentor-ship for direct reports across multiple sites and others, as well as with vendors and regulators and contribute to LPL Financial goals as an employer of choice by participating, supporting and advocating for key programs.
  • Drive organizational change management and engagement ensuring it is reinforced for effectiveness.
  • Assess staff talent and provide feedback for employee development and succession planning.
  • Facilitate and orchestrate group level strategies and plans regarding organizational design, talent development and metrics/KPIs.

Strategy

  • Strategic thought leader and major business partner for development of enterprise-wide or business segment strategy.
  • Establish strategic goals and objectives for the ongoing leadership of a strong fraud surveillance program within LPL.
  • Collaborate with Compliance, Legal, Risk and Technology to develop a detailed, multi-year implementation roadmap.
  • Develop the business case and staffing model required to support the overall Fraud Program.

Operational/Execution Focus

  • Significant leadership skills, initiative, ability to identify tasks and develop plans, and able to identify risks that could have a material impact on the Company’s business.
  • Ability to work with and leverage external vendor partners, while understanding the role, value provided and when to engage with external auditor.
  • Understands and is able to develop and implement an audit framework that directly ties into the organization’s management framework and business goals.

Fact Based and Analytical Decision Making

  • Execution-oriented, both strategic and tactical, utilizes ‘fact based’ decision-making; delivers repeatable, sustainable results.
  • Able to view and analyze data, looking for key trends, insights and themes, and hone in on that data set to inform decision making.
  • Proven ability and skill set to understand and leverage data and data analytics, and to make recommendations, decisions, and fact-based presentations.
  • Able to effectively communicate results to employees and leaders at all levels.

Transformational Leadership

  • A leader who innovates and implements ‘best practices’, and understands the important role technology increasingly plays in the Company’s businesses.
  • Ability to articulate issues with a balance that accurately reflects the importance and materiality of each, with candor and without exaggeration.
  • Able to see both opportunities for improvement, with a focus on efficiency and effectiveness.
  • Willingness and ability to transform the Operations function as business and organizational needs evolve.
  • Seeks out, leverages and incorporates diverse perspectives; identifies new ways to approach a problem; an excellent listener who gathers data and feedback for consideration as an integral and key part of decision making.
  • Proven track record of leading successful operations’ areas including development of a team and building relationships across the organization.

Qualifications:

  • Undergraduate degree in a related field; advanced level degree a plus
  • 15+ years Financial Services industry experience across several disciplines including but not limited to Operations, Compliance, Customer Service and Risk Management
  • Series 7 and 24 required
  • Ability to manage and lead geographically dispersed teams effectively in dynamic and fast paced environment
  • Experience leading and motivating a direct report and cross-functional team and influencing others outside of direct reporting relationship
  • Ability to work with and communicate effectively to various levels throughout the organization through daily interaction with LPL Financial Advisors as well as Senior and Executive Management across LPL
  • Ability to excel in a deadline driven, high-risk based environment, oversee and enforce Firm and regulatory requirements 
  • Problem solving skills that enable efficient identification of issues; structuring and execution of analysis; development of actionable recommendations; and implementation of those recommendations
  • Change leadership excellence and experience to include LEAN principles and experience in integrations, offshoring, and other changes to the business model
  • Excellent judgment, superior problem solving and negotiating skills
  • Ability to leverage others expertise and experience in identifying, evaluating and mitigating risks
  • Operates in a team environment with a focus on employee satisfaction
  • Self-reliant, results oriented
  • Holds oneself and team accountable for decisions, direction and deadlines
  • A natural forward planner who critically assesses own performance, that of the team and adjusts as needed
  • Mature, credible, trustworthy and comfortable dealing with senior executives
  • Software and systems skills required: Microsoft Excel, Microsoft Access, Microsoft Outlook, Microsoft Word and BETA – Books and Records (preferred)

About LPL Financial:

LPL Financial is a leader in the retail financial advice market and the nation’s largest independent broker/dealer*. We serve independent financial advisors and financial institutions, providing them with the technology, research, clearing and compliance services, and practice management programs they need to create and grow thriving practices. LPL enables them to provide objective guidance to millions of American families seeking wealth management, retirement planning, financial planning and asset management solutions. LPL and its affiliates have more than 3,700 employees with primary offices in Boston, Charlotte, and San Diego.

Our Culture:

If you join LPL, you will join a culture that believes in delivering a world-class client experience and looks to all employees to contribute to that goal by sharing their creativity, experience, and passion for continuous improvement. As a destination of choice, our top priorities are growth and development, social responsibility, and financial health for our employees. 

We offer competitive compensation and industry leading benefits, including a wellness facility with onsite fitness classes, healthy meal choices, and a walk-in clinic. We support employee financial health through a 401k match, ESPP, and employee discounts. Work/life balance is our foundation and is supported through paid holidays, and paid time off (including time to volunteer). We foster a diverse work environment through Employee Resource Groups and diverse strategic partnerships.  

Join the LPL team and help us make a difference by turning life’s aspirations into financial realities. Please login or create an account to apply to this position. Principals only. EOE

*As reported by Financial Planning magazine, June 1996-2017, based on total revenue.

Jul 18th, 2019 07:26AM Jul 18th, 2019 07:26AM Financials Financial Services
nasdaq:lpla careers.lpl.com careers.lpl.com Jul 18th, 2019 12:00AM Service Experience Professional Open LPL Financial Fort Mill SC USA Jan 28th, 2019 12:00AM

Discover your opportunity with LPL Financial, a leader in the retail financial advice market and the nation’s largest independent broker/dealer with over 15,000 financial advisors and over 4000 corporate employees where we respect and appreciate the diversity of our employees, our clients, and the communities we serve.

Joining our team as a Service Experience Professional will allow you to support financial advisors by offering an extraordinary quality service experience. Our service team’s main priority is to create a reliable support system for our clients so they can easily grow their practice. Being flexible and adaptable to competing priorities will be key success factors for this position.

What you’ll do

These inbound phone calls can range from something as simple as an account balance inquiry to the complexity of helping resolve difficult financial transaction, but your duty remains the same: Providing our clients with timely, correct, and relevant information, when and where they need it so that in turn they can help their clients achieve their own financial dreams.

Exceptional service and professionalism is required, as you’ll enjoy engaging our clients with our mission to provide positive results.  If you have an entrepreneurial spirt, passion for service excellence, and a need to excel, this would be a reward career for you.

The Expertise Were Looking For

  • Bachelors preferred, Associates required.
  • 1-3 years of professional work experience; customer facing experience a plus
  • Previous exposure to or possess a sincere interest in learning more about financial services industry

The Skills You Need

  • You possess the ability to provide multiple solutions that will achieve the same outcome
  • You possess the ability to prioritize when pressured with multiple tasks
  • You possess the ability to highly responsive to coaching & training
  • Ability to work well individually and as part of team

The Success you Deliver

  • Proactively identify solutions to help mitigate repetitive interactions from advisors  
  • Partnering with team members to achieve outstanding results as you are continuously growing and learning to enhance your expertise

The Empowerment of Your Role

LPL is transforming our culture and our commitment to the ease of doing business. Making it easier for advisors to do business with us is our No. 1 priority. No matter what your role or department, at LPL we all own this. Knowing this we are all empowered to make things simpler and do what is best for advisors and their investors.

The Quality You Deliver

At LPL financial, our work makes a difference. That is why we share a passion for doing it ethically and exceedingly well. Because we have a clear focus and we are empowered to deliver results, we see every day that we are creating something special together.

Your Life

LPL Financial has a “we” philosophy rather than a “me” philosophy. Our benefit packages are built to support our colleagues and their families by providing programs that foster health, peace of mind, work/life balance, as well as support for your financial and social goals and commitments. Sound too good to be true? See for yourself and learn more about our benefit offerings.

About LPL Financial:

LPL Financial is a leader in the retail financial advice market and the nation’s largest independent broker/dealer*. We serve independent financial advisors and financial institutions, providing them with the technology, research, clearing and compliance services, and practice management programs they need to create and grow thriving practices. LPL enables them to provide objective guidance to millions of American families seeking wealth management, retirement planning, financial planning and asset management solutions. LPL and its affiliates have more than 3,700 employees with primary offices in Boston, Charlotte, and San Diego.

Our Culture:

If you join LPL, you will join a culture that believes in delivering a world-class client experience and looks to all employees to contribute to that goal by sharing their creativity, experience, and passion for continuous improvement. As a destination of choice, our top priorities are growth and development, social responsibility, and financial health for our employees. 

We offer competitive compensation and industry leading benefits, including a wellness facility with onsite fitness classes, healthy meal choices, and a walk-in clinic. We support employee financial health through a 401k match, ESPP, and employee discounts. Work/life balance is our foundation and is supported through paid holidays, and paid time off (including time to volunteer). We foster a diverse work environment through Employee Resource Groups and diverse strategic partnerships.  

Join the LPL team and help us make a difference by turning life’s aspirations into financial realities. Please login or create an account to apply to this position. Principals only. EOE

*As reported by Financial Planning magazine, June 1996-2017, based on total revenue.

Jul 18th, 2019 07:26AM Jul 18th, 2019 07:26AM Financials Financial Services
nasdaq:lpla careers.lpl.com careers.lpl.com Jul 18th, 2019 12:00AM Associate Advisor Open LPL Financial Summerville SC USA Feb 11th, 2019 12:00AM

Are you looking to be part of something big?

A career in financial advice and wealth management may be an ideal path for you. It offers the chance to learn and grow within an exciting field—a rapidly accelerating industry that’s expected to grow by nearly a third over the next few years.

LPL Financial, the nation’s largest and fastest growing network of independent financial advisors,1 is seeking driven, forward-thinking individuals to join its Independent Advisor Institute. Through the program, you’ll have the opportunity to build a strong foundation for a career in wealth management under the tutelage of experienced industry professionals.

You’ll work alongside a successful LPL advisor in their office to learn firsthand the business of becoming a financial advisor. You’ll have access to a network of knowledgeable industry professionals, mentors, and a nationwide group of program participants to help ensure you reach your full potential. As part of the program, you’ll receive a competitive compensation package while you obtain your licensing, progress through training, and work toward becoming a full-fledged independent advisor. 

Successful candidates will demonstrate a passion for helping others turn life’s aspirations into financial realities and possess a service and detail-oriented mindset. They will enjoy building relationships, shaping unique solutions, and being active in their local community.

Responsibilities:

  • Participate in a comprehensive advisor training program (one year), which includes:
    • Successful completion of Series 7 and Series 66 licensing exams within 120 days
    • Participation in classroom learning sessions (virtual and in-person)
    • Apprenticeship, mentoring, and coaching sessions with a mentor advisor and other industry professionals
  • Attend sales meetings and assist with client prospecting and marketing
  • Attend coaching sessions and training events to improve sales skills and industry knowledge
  • Process trades under direction of the mentor financial advisor
  • Process required paperwork for investment transactions and interact with the mentor advisor’s broker/dealer
  • Collect appropriate documentation to set up new accounts

    Job Requirements:

  • One to three years of applicable professional experience and/or experience working in a professional sales or entrepreneurial setting
  • Bachelor’s degree
  • Criminal background check (for financial licensing purposes)
  • Personal finances must be in good standing (for financial licensing purposes)
  • Ability to obtain Series 7 and 66 licenses within the first 120 days of employment
  • High attention to detail and desire to deliver superior client service
  • A confident and engaging presence, high emotional intelligence, and willingness to listen
  • Ability to influence people
  • Entrepreneurial spirit and self-motivation to succeed
  • Ability to multi-task with high degree of accuracy
  • Ability to learn and accept standard operating procedures and compliance regulations
  • Proficiency with Microsoft Office
  • Ability to quickly learn new technologies and software programs
  • Highly coachable
  • Demonstrated community involvement
  • Ability to communicate complex topics in an easy-to-understand manner
  • Strong analytical and communication skills

About LPL Financial:

LPL Financial is a leader in the retail financial advice market and the nation’s largest independent broker/dealer*. We serve independent financial advisors and financial institutions, providing them with the technology, research, clearing and compliance services, and practice management programs they need to create and grow thriving practices. LPL enables them to provide objective guidance to millions of American families seeking wealth management, retirement planning, financial planning and asset management solutions. LPL and its affiliates have more than 3,700 employees with primary offices in Boston, Charlotte, and San Diego.

Our Culture:

If you join LPL, you will join a culture that believes in delivering a world-class client experience and looks to all employees to contribute to that goal by sharing their creativity, experience, and passion for continuous improvement. As a destination of choice, our top priorities are growth and development, social responsibility, and financial health for our employees. 

We offer competitive compensation and industry leading benefits, including a wellness facility with onsite fitness classes, healthy meal choices, and a walk-in clinic. We support employee financial health through a 401k match, ESPP, and employee discounts. Work/life balance is our foundation and is supported through paid holidays, and paid time off (including time to volunteer). We foster a diverse work environment through Employee Resource Groups and diverse strategic partnerships.  

Join the LPL team and help us make a difference by turning life’s aspirations into financial realities. Please login or create an account to apply to this position. Principals only. EOE

*As reported by Financial Planning magazine, June 1996-2017, based on total revenue.

Jul 18th, 2019 07:26AM Jul 18th, 2019 07:26AM Financials Financial Services
nasdaq:lpla careers.lpl.com careers.lpl.com Jul 18th, 2019 12:00AM SVP, Investment Execution Technology Open LPL Financial Fort Mill SC USA Mar 22nd, 2019 12:00AM

At LPL Financial, we are currently seeking an SVP of Investment Execution Technology to lead design and operation of critical systems. In this critical position, you will manage the execution of the vision, strategy and delivery against goals focusing on functions and processes which implement Investment Execution. These functions include pre-trade compliance, portfolio reporting, re-balancing, trading, benchmarks and models, integration with middle and back office systems.

You will also work closely with senior executives and product managers who define the needs of our clients in Advisor Facing Technologies, and provide innovative, compelling, insightful, customer-centric strategies and recommendations that will leverage evolving technology landscapes, platforms, and modalities to ensure that LPL Financial stays ahead of the curve in offering Investment Execution solutions.

Essential Functions:

  • Lead Team of Developers, Analyst and Project Managers to implement LPLs strategy in Investment Execution Technology
  • Partner with product managers, business and other parts of technology to ensure alignment to LPL's short, medium and long term strategy
  • Build a first class execution team which delivers on a strategic roadmap which achieves competitive advantage
  • Establish a strong network inside and outside of LPL which enables you to perform your duties efficiently and in a spirit of partnership and collaboration
  • Present engineering options during planning process which illustrate the means to achieve our objectives while illustrating the pros and cons of each alternative
  • Understand how Investment Execution Technology integrates with the short, medium and long term strategy within AFTE and LPL Financial as a whole
  • Exhibit a bias towards action in executing your functions
  • Be cognizant of the various technology offerings in the marketplace through direct research, general business intelligence, LPL business unit interface, vendor analysis, and direct Advisor communications.

Other Job Duties:

  • Proficient in all Advisor/client facing applications offered by LPL
  • Knowledgeable of the technology offerings of the top five LPL competitors and the general strategy those competitors are taking relative to their own technology
  • Proficient at executive presentation and writing
  • Talent Management including creating a high performing team, mentoring team members, and succession planning.

Qualifications:

  • Bachelor's degree required (top university and/or master's degree preferred)
  • 10+ years of experience in financial services with proven track record of delivery
  • Deep understanding and strong skills within Investment Management and Wealth Management technology and processes
  • Strategically minded with proven analytical curiosity and process re-engineering methods
  • Thought leader with creativity and intelligence to formulate innovative solutions
  • Passion for technology, social space, and online platforms and applications
  • Strong vision, goal oriented, reliable, self-starter, with ability to communicate and partner with all levels of the organization
  • Excellent communication skills (verbal, written, and presentation)

About LPL Financial:

LPL Financial is a leader in the retail financial advice market and the nation’s largest independent broker/dealer*. We serve independent financial advisors and financial institutions, providing them with the technology, research, clearing and compliance services, and practice management programs they need to create and grow thriving practices. LPL enables them to provide objective guidance to millions of American families seeking wealth management, retirement planning, financial planning and asset management solutions. LPL and its affiliates have more than 3,700 employees with primary offices in Boston, Charlotte, and San Diego.

Our Culture:

If you join LPL, you will join a culture that believes in delivering a world-class client experience and looks to all employees to contribute to that goal by sharing their creativity, experience, and passion for continuous improvement. As a destination of choice, our top priorities are growth and development, social responsibility, and financial health for our employees. 

We offer competitive compensation and industry leading benefits, including a wellness facility with onsite fitness classes, healthy meal choices, and a walk-in clinic. We support employee financial health through a 401k match, ESPP, and employee discounts. Work/life balance is our foundation and is supported through paid holidays, and paid time off (including time to volunteer). We foster a diverse work environment through Employee Resource Groups and diverse strategic partnerships.  

Join the LPL team and help us make a difference by turning life’s aspirations into financial realities. Please login or create an account to apply to this position. Principals only. EOE

*As reported by Financial Planning magazine, June 1996-2017, based on total revenue.

Jul 18th, 2019 07:26AM Jul 18th, 2019 07:26AM Financials Financial Services
nasdaq:lpla careers.lpl.com careers.lpl.com Jul 18th, 2019 12:00AM SVP, Risk Management (Service, Trading and Operations) Open LPL Financial Fort Mill SC USA Mar 27th, 2019 12:00AM

At LPL Financial, we are currently looking for a Senior Vice President to oversee our Service, Trading and Operations (STO) Risk Management function.

The SVP of STO Risk Management will enhance the overall risk and control process for Service, Trading and Operations, and work closely with Compliance, Legal and Risk (CLR), Internal Audit (IA), and Technology to define, implement, and continuously instill a risk ready, customer-centric culture throughout STO. The SVP is responsible for leading the STO Risk Management team, and partnering with leadership across the organization to assess, develop, and deliver strong and effective controls and procedures aimed at mitigating risk throughout the organization, while continually balancing these risks against the impact they might have on our advisors and their clients.

The Head of STO Risk will also own and be responsible for effectively tracking and working with various departments to mitigate previously identified risks and continually searching for new and emerging risks that could impact STO and being a role-model leader in our customer-centric transformation.

Essential Functions:

  • Effectively lead the STO Risk team, with a focus on safeguarding client information and promoting a culture of high performance aligned with “One Team with One Mission” and focused on employee development, team engagement, priorities, etc.
  • Driving and institutionalizing a sustained and focused strategy to enhance the risk and controls environment and achieve high quality standards.
  • Creating consistent and consolidated reporting for all of the STO areas to identify control weaknesses and develop and track ongoing action plans.
  • Creating and maintaining the budget within the Risk Management unit.
  • Managing the STO Operations Regulatory Reporting team to ensure Operational reporting such as Focus and Reserve reporting are delivered timely and accurately to Finance and Treasury and Trade reporting, which includes Order Audit Trail System (OATS), Electronic Clue Sheets (EBS), and Consolidated Audit Trail (CAT), is submitted timely and accurately to the appropriate regulators.
  • Ownership of the Business Continuity Program (BCP) within STO.  This includes working in partnership with BCP and STO leaders to ensure Disaster Recovery protocols are maintained and updated and the ownership of STO’s weather related planning and coordination efforts.
  • Solution driven thought leadership and strategic approach on firm-wide remediation efforts.
  • Identify and produce common risk standard levels for the various STO functions and assess related performance.
  • Drive the development of a more proactive and anticipatory approach to risk management throughout STO and imbed that mindset into the organizations culture.  
  • Ensure ongoing analysis of risk, understand gaps and vulnerabilities as well as regulatory trends.  
  • Determine potential impact on the organization’s risk posture.
  • Benchmarking STO’s effectiveness against industry standard and peer firms.
  • Align STO’s risk effort with the overall LPL control environment.
  • Being recognized as a strategic thought leader and effective business partner in development of enterprise-wide and business segment strategy.
  • Partner and cultivate meaningful relationships with employees at all levels across the enterprise including: Technology, CLR and HC to enable a culture of risk and controls.
  • Ability to influence and interface effectively with all levels of management.

Qualifications:

  • Bachelor’s degree in a related field; advanced degree a plus
  • Series 7, 24, 63 and 65 required
  • 15+ years of industry experience (preferably in financial services) including extensive knowledge of operations, service, trading, audit, compliance and risk.
  • Strong overall business acumen (preferably operations experience).
  • Experience managing vendors and vendor relationships.
  • Ability to aggregate, analyze and interpret control environment related data in order to create recommendations and solutions. Must be able to communicate effectively to executive management and board members.
  • Ability to manage and lead effectively in an ever changing regulatory environment through business acumen and organizational agility.
  • Expert change management driver who has critical consensus building skills and an ability to drive complex initiatives and change across multiple functions within the organization through; partnership with and leverage of; others experience, expertise and ability.
  • Build strong business relationships across the enterprise to enable a thorough understanding and close alignment with business needs, direction and risk appetite.

Soft Skills Required:

  • Empathy for the financial advisors and a customer-centric mindset that understands we exist as a firm to serve them.
  • Excellent verbal and written communication skills for both internal and external audiences.
  • Personable and reliable self-starter who requires minimal management oversight for day-to-day responsibilities.
  • Strong attention to details with a pro-active, self-reliant approach to problem solving and problem prevention.
  • Holds oneself and team accountable for decisions, direction, and deadlines with geographically dispersed team members.
  • Ability to work under heavy pressure/demands/deadlines and manage multiple priorities.
  • Exceptional interpersonal and partnership skills and the ability to positively influence outcomes and drive change.
  • Strong time management skills.
  • Highly motivated and able to adapt to changing priorities as well as timely execute on projects/initiatives in a fast-paced environment.
  • Highly ethical and trustworthy.

About LPL Financial:

LPL Financial is a leader in the retail financial advice market and the nation’s largest independent broker/dealer*. We serve independent financial advisors and financial institutions, providing them with the technology, research, clearing and compliance services, and practice management programs they need to create and grow thriving practices. LPL enables them to provide objective guidance to millions of American families seeking wealth management, retirement planning, financial planning and asset management solutions. LPL and its affiliates have more than 3,700 employees with primary offices in Boston, Charlotte, and San Diego.

Our Culture:

If you join LPL, you will join a culture that believes in delivering a world-class client experience and looks to all employees to contribute to that goal by sharing their creativity, experience, and passion for continuous improvement. As a destination of choice, our top priorities are growth and development, social responsibility, and financial health for our employees. 

We offer competitive compensation and industry leading benefits, including a wellness facility with onsite fitness classes, healthy meal choices, and a walk-in clinic. We support employee financial health through a 401k match, ESPP, and employee discounts. Work/life balance is our foundation and is supported through paid holidays, and paid time off (including time to volunteer). We foster a diverse work environment through Employee Resource Groups and diverse strategic partnerships.  

Join the LPL team and help us make a difference by turning life’s aspirations into financial realities. Please login or create an account to apply to this position. Principals only. EOE

*As reported by Financial Planning magazine, June 1996-2017, based on total revenue.

Jul 18th, 2019 07:26AM Jul 18th, 2019 07:26AM Financials Financial Services
nasdaq:lpla careers.lpl.com careers.lpl.com Jul 18th, 2019 12:00AM SVP, Head of Technology PMO Open LPL Financial Fort Mill SC USA Apr 2nd, 2019 12:00AM

As the Senior Vice President and Head of the Technology Portfolio Management Office (PMO), you will be responsible for leading and executing the Technology portfolio.

You will oversee project and program management disciplines to include, SDLC methodology, governance and processes, portfolio financials, PMO resources and operational support functions related to vendor management, processes and governance of SOW contractors across Technology, enterprise-wide vision for PPM tool, Planview, as well as day-to-day support.

As the successful candidate, you will possess a solid general management capability with skills in the following areas; strategy, operational excellence, collaboration and innovation. You will also be an experienced developer of talent with a solid track record of recruiting, developing and retaining talented and capable resources, utilizing a combination of in-house, external and outsourced resources. Additionally, you will establish and maintain cross-functional alignment to ensure a consistent and rational approach to delivering results through prioritization, staff and execution of technology portfolio.

Essential Functions:

  • Lead team of 50+ portfolio/program and project manager and support resources
  • Develop and implement consistent methods for portfolio delivery, team structure, financial management, risk management, portfolio/program/project reviews, escalation processes, business case development and cross-functional team leadership
  • Oversees all aspects of project management including internal development, implementation, and or integration of third-party applications
  • Responsible for development of, and adherence to a standard methodology for programs/projects
  • Support the preparation of the organization’s strategic planning and Investment Planning processes
  • Communication and drive adoption and alignment of standards, policies, and procedures across the organization
  • Lead change management efforts to develop a culture of continuous improvement, accountability and bias for action to aid in the execution and delivery of projects
  • Define and implement the utilization portfolio/program/project performance metrics (KPIs) and indicators for progress utilizing metrics to provide a datacentric view of PMO performance and to direct ongoing improvement efforts that will impact outcomes
  • Partner with functional leadership to ensure appropriate resource planning, execution, visibility and tracking of portfolio
  • Identify and deploy new technologies, methodologies and techniques that can benefit the organization in how the portfolio is delivered
  • Develop effective training tools for portfolio leads, program and project managers and functional core team members
  • Perform all other essential duties as assigned

Qualifications:

  • Bachelor’s Degree in Engineering, Technical field or appropriate field of study is required; Master's Degree preferred
  • Minimum of 15-20 years cross functional program/project experience, with a demonstrated track record of execution bringing product from concept through market release is required
  • Minimum of 5 years experience in Financial Services and/or Wealth Management/Broker Dealer is required
  • Minimum of 10 years experience managing and developing people is required
  • Exceptional oral and written communication skills with varied stakeholders (e.g. business, technical executives) are essential
  • Must be team player who thrives on working collaboratively and skilled at influencing
  • Must be detail oriented; highly organized and thorough
  • Must have keen sense of time management with competing priorities and master of multi-tasking in changing environment
  • Must be avid problem solver with proven ability to make timely decisions while dealing with ambiguity
  • Demonstrated knowledge of managing large budget & financials, including understanding impacts of capitalization and operating expenses
  • Demonstrated leadership ability to work effectively with people at all levels in an organization

About LPL Financial:

LPL Financial is a leader in the retail financial advice market and the nation’s largest independent broker/dealer*. We serve independent financial advisors and financial institutions, providing them with the technology, research, clearing and compliance services, and practice management programs they need to create and grow thriving practices. LPL enables them to provide objective guidance to millions of American families seeking wealth management, retirement planning, financial planning and asset management solutions. LPL and its affiliates have more than 3,700 employees with primary offices in Boston, Charlotte, and San Diego.

Our Culture:

If you join LPL, you will join a culture that believes in delivering a world-class client experience and looks to all employees to contribute to that goal by sharing their creativity, experience, and passion for continuous improvement. As a destination of choice, our top priorities are growth and development, social responsibility, and financial health for our employees. 

We offer competitive compensation and industry leading benefits, including a wellness facility with onsite fitness classes, healthy meal choices, and a walk-in clinic. We support employee financial health through a 401k match, ESPP, and employee discounts. Work/life balance is our foundation and is supported through paid holidays, and paid time off (including time to volunteer). We foster a diverse work environment through Employee Resource Groups and diverse strategic partnerships.  

Join the LPL team and help us make a difference by turning life’s aspirations into financial realities. Please login or create an account to apply to this position. Principals only. EOE

*As reported by Financial Planning magazine, June 1996-2017, based on total revenue.

Jul 18th, 2019 07:26AM Jul 18th, 2019 07:26AM Financials Financial Services
nasdaq:lpla careers.lpl.com careers.lpl.com Jul 18th, 2019 12:00AM SVP, Enterprise Risk Management (Compliance, Legal and Risk) Open LPL Financial Fort Mill SC USA Apr 4th, 2019 12:00AM

LPL is seeking a Senior Vice President (SVP) and Head of Enterprise Risk Management (ERM). 

The Head of ERM will lead a second line of defense team responsible for:

  • Owning and implementing LPL’s operational risk management framework;
  • Effectively challenging the businesses’ operational risk management activities and providing senior management with an independent assessment of businesses’ operational risk profile; and
  • Identifying new and emerging operational risk themes based on internal and external data.

This person will be expected to lead the evolution of the ERM as part of LPL’s broader efforts to enhance its risk management capabilities.

Essential Functions:

  • Enhance LPL’s operational risk management framework, supporting standards and procedures covering identification, measurement, monitoring and management of operational risk.
  • Lead the execution of day-to-day responsibilities owned by the ERM team including, but not limited to:
    • Effectively challenge the businesses’ operational risk oversight activities including completed internal incident reports, RCSAs, and scenario analyses; and
    • Tasks owned by the operational risk team including operational risk deep dives, tracking of business action plans, KRI tracking and the production of operational risk reports for senior management.
  • Lead efforts (e.g. training, communications) to enhance  risk management practices within LPL and reinforce the company’s broader risk culture
  • Use subject matter expertise and industry knowledge to provide independent oversight and credible challenge of business units operational risk management activities
  • Direct engagement with the business units and control function leaders to promote a strong operational risk culture
  • Active engagement in key front line governance routines inclusive of strategic planning sessions, governance committees and business reviews
  • Review and challenge of risk acceptance decisions  and new business initiatives
  • Identify and escalate to senior leadership conflicts with risk management results and expected business outcomes
  • Influence risk management prioritization by the front line to enable the business to meet strategic objectives, while meeting operational risk program expectations
  • Evaluate cross-program and cross-group analytics to identify opportunities and best practices to influence stronger risk management practices by the business
  • Active, routine engagement with senior leaders to ensure information sharing across risk types
  • Develop and deliver content to senior business leaders summarizing the results of the independent risk assessment activities
  • Provide leadership to the ERM team, in particular:
    • Define deliverables for team members and monitor their execution;
    • Train, coach and develop team members; and
    • Attract and retain top talent

Qualifications:

This position requires business engagement to drive and effect change. This position will partner with both internal and external stakeholders, including senior management from all three lines of defense, as well as relevant regulatory agencies.

A successful candidate will have the experience and ability to:

  • Successfully review and challenge business operational risk management practices and outcomes.
  • Build and sustain a strong risk culture including a balanced approach through working in cooperation and consultation with all lines of defense across the enterprise.
  • Leverage their experience to bring industry leading standards, practices and tools to the organization.

Additional Qualifications:

  • Bachelor’s degree; advanced degree a plus
  • Minimum 10+ years working in the financial services industry or a highly related industry requiring significant risk and compliance controls
  • Leadership, integrity, and credibility
  • Strong relationship management, influencing, vision and execution skills
  • Analytical skills with the ability to collect, organize, analyze, and disseminate significant amounts of information with attention to detail and accuracy
  • Candidates must be articulate, possess executive level presentation and communication skills   
  • Ability to operate successfully in a complex, heavily matrixed corporate environment
  • Ability to prioritize key deliverables, multi-task and work well under pressure and tight deadlines
  • Strong meeting management and facilitation skills

About LPL Financial:

LPL Financial is a leader in the retail financial advice market and the nation’s largest independent broker/dealer*. We serve independent financial advisors and financial institutions, providing them with the technology, research, clearing and compliance services, and practice management programs they need to create and grow thriving practices. LPL enables them to provide objective guidance to millions of American families seeking wealth management, retirement planning, financial planning and asset management solutions. LPL and its affiliates have more than 3,700 employees with primary offices in Boston, Charlotte, and San Diego.

Our Culture:

If you join LPL, you will join a culture that believes in delivering a world-class client experience and looks to all employees to contribute to that goal by sharing their creativity, experience, and passion for continuous improvement. As a destination of choice, our top priorities are growth and development, social responsibility, and financial health for our employees. 

We offer competitive compensation and industry leading benefits, including a wellness facility with onsite fitness classes, healthy meal choices, and a walk-in clinic. We support employee financial health through a 401k match, ESPP, and employee discounts. Work/life balance is our foundation and is supported through paid holidays, and paid time off (including time to volunteer). We foster a diverse work environment through Employee Resource Groups and diverse strategic partnerships.  

Join the LPL team and help us make a difference by turning life’s aspirations into financial realities. Please login or create an account to apply to this position. Principals only. EOE

*As reported by Financial Planning magazine, June 1996-2017, based on total revenue.

Jul 18th, 2019 07:26AM Jul 18th, 2019 07:26AM Financials Financial Services
nasdaq:lpla careers.lpl.com careers.lpl.com Jul 18th, 2019 12:00AM Intern Early Dispute Resolution Open LPL Financial Boston MA USA Apr 5th, 2019 12:00AM

At LPL Financial, we are seeking interns to join our Early Dispute Resolution Group (“EDR”) providing valuable workplace experience, while providing weekly mentoring and a professional training opportunity.

What You'll Do

This is an 11-week paid internship available to students who are affiliated with our community partner schools. The program will run from June 10 through August 16. In addition to providing valuable workplace experience, the program also includes weekly mentoring and career workshops, which will provide our interns with additional professional training opportunities. Workshop topics have included resume building, mock interviews, and social media for professionals, public speaking, and more.

The EDR Team is responsible for the review and resolution of customer complaints and inquiries forwarded to the EDR group from the Dispute Resolution Mailbox and other areas of the Firm and the intern will assist and support the Team as they resolve these matters. 

Position Overview

Responsibilities

  • Assist attorneys with all aspects of customer complaints including setting up files, research and document/information collection;
  • Assist in the intake of customer complaints and inquiries;
  • Work with team on relevant projects;
  • Work with internal departments to resolve customer complaints and inquiries;
  • Draft correspondence to customers and financial advisors;
  • updating and maintaining databases including the matter management system
  • Work on special projects and/or reports on complaint statistics and trends;
  • Provide general administrative support to team of attorneys and paralegals including ordering documents, closing cases and document management.

About LPL Financial:

LPL Financial is a leader in the retail financial advice market and the nation’s largest independent broker/dealer*. We serve independent financial advisors and financial institutions, providing them with the technology, research, clearing and compliance services, and practice management programs they need to create and grow thriving practices. LPL enables them to provide objective guidance to millions of American families seeking wealth management, retirement planning, financial planning and asset management solutions. LPL and its affiliates have more than 3,700 employees with primary offices in Boston, Charlotte, and San Diego.

Our Culture:

If you join LPL, you will join a culture that believes in delivering a world-class client experience and looks to all employees to contribute to that goal by sharing their creativity, experience, and passion for continuous improvement. As a destination of choice, our top priorities are growth and development, social responsibility, and financial health for our employees. 

We offer competitive compensation and industry leading benefits, including a wellness facility with onsite fitness classes, healthy meal choices, and a walk-in clinic. We support employee financial health through a 401k match, ESPP, and employee discounts. Work/life balance is our foundation and is supported through paid holidays, and paid time off (including time to volunteer). We foster a diverse work environment through Employee Resource Groups and diverse strategic partnerships.  

Join the LPL team and help us make a difference by turning life’s aspirations into financial realities. Please login or create an account to apply to this position. Principals only. EOE

*As reported by Financial Planning magazine, June 1996-2017, based on total revenue.

Jul 18th, 2019 07:26AM Jul 18th, 2019 07:26AM Financials Financial Services
nasdaq:lpla careers.lpl.com careers.lpl.com Jul 18th, 2019 12:00AM AVP, Project Manager Open LPL Financial Fort Mill SC USA Apr 12th, 2019 12:00AM

The Assistant Vice President, Business Management role will report directly to the Vice President and be a member of the Institution Services Business Consulting business unit.  The position will support complex client relationships and other Institution Services initiatives through planning, tracking and execution of projects of varying scale and complexity.   

Essential Duties and Responsibilities:  

  • Develop strong business relationships across the enterprise to enable a strong mutual understanding of risks and opportunities while also achieving close alignment on business needs
  • Thrive in a team atmosphere and has the confidence to adjust and adapt as priorities change
  • Build and maintain relationships with clearing business partners at LPL, including the Relationship Manager, along with key stakeholders at the clearing client.
  • Strong organization acumen, self-starter and the ability to work with minimal supervision
  • Maintain consolidated timeline view of projects related to clearing relationship
  • Facilitation of regular clearing client-related portfolio review sessions with key internal stakeholders including item/issue tracking and action items
  • Coordination and distribution of key required relationship reporting; ensuring the contents, owners and schedules are kept current
  • Administration of estimation process (high-level range of efforts to detailed estimates) for client-funded efforts (either components of a firm initiative or complete project)
  • Management of invoice process for client-funded projects/efforts between
  • Provide research, analysis and support on a variety of strategic initiatives
  • Create presentations and project documentation for senior members of the organization
  • Complete ad-hoc assignments that assist in development and implementation of strategies and new processes
  • Review existing business processes to identify areas of improvement
  • Assist in developing, improving and revising processes for continual improvement

Education and/or Work Experience Requirements:

  • Education: BA, BS or MBA preferred not required
  • PMP Certification desired
  • Required Years of Experience: 3-5
  • Software/Systems Skills:  Advanced Knowledge of MS Office Suite is required
  • Visio, Access a plus
  • Client facing experience in the financial industry (Advisor or Institution)
  • Experience in Advisor facing technologies or processes a plus

The successful candidatemust possess:

  • Exceptional verbal and written communication skills, including ability to effectively communicate with internal and external customers
  • Strong analytical skills with a demonstrated ability to evaluate business opportunities within the context of a larger organization and its’ objectives
  • Outstanding relationship building skills 
  • Ability to work and communicate effectively with all levels of management
  • Be a self- starter that is able to work independently
  • Have a proven track record in successful presentations and task management
  • Ability to collaborate and work across a large and highly matrixed organization and collaborate/influence as appropriate
  • Must be able to work under pressure and meet deadlines, while maintaining a positive attitude and providing exemplary customer service

Soft Skills Required:

  • Articulate, confident, driven professional with the ability to work with like-minded professionals in a results-oriented, fast paced growing environment
  • History of business to business relationship management success
  • High level of integrity and highest ethical standards with an innate ability to build trust
  • Personal confidence with leadership capabilities
  • Highly polished, professional presentation skills to the highest levels in the organization and the ability to frame complex issues
  • Strong work ethic while comfortable being a role model for others

About LPL Financial:

LPL Financial is a leader in the retail financial advice market and the nation’s largest independent broker/dealer*. We serve independent financial advisors and financial institutions, providing them with the technology, research, clearing and compliance services, and practice management programs they need to create and grow thriving practices. LPL enables them to provide objective guidance to millions of American families seeking wealth management, retirement planning, financial planning and asset management solutions. LPL and its affiliates have more than 3,700 employees with primary offices in Boston, Charlotte, and San Diego.

Our Culture:

If you join LPL, you will join a culture that believes in delivering a world-class client experience and looks to all employees to contribute to that goal by sharing their creativity, experience, and passion for continuous improvement. As a destination of choice, our top priorities are growth and development, social responsibility, and financial health for our employees. 

We offer competitive compensation and industry leading benefits, including a wellness facility with onsite fitness classes, healthy meal choices, and a walk-in clinic. We support employee financial health through a 401k match, ESPP, and employee discounts. Work/life balance is our foundation and is supported through paid holidays, and paid time off (including time to volunteer). We foster a diverse work environment through Employee Resource Groups and diverse strategic partnerships.  

Join the LPL team and help us make a difference by turning life’s aspirations into financial realities. Please login or create an account to apply to this position. Principals only. EOE

*As reported by Financial Planning magazine, June 1996-2017, based on total revenue.

Jul 18th, 2019 07:26AM Jul 18th, 2019 07:26AM Financials Financial Services
nasdaq:lpla careers.lpl.com careers.lpl.com Jul 18th, 2019 12:00AM Sr. Analyst, Capital Management Open LPL Financial San Diego CA USA Apr 22nd, 2019 12:00AM

LPL Financial is seeking a strong applicant to join our team in the role of Sr. Analyst, Capital Management.  As a Sr. Analyst of Capital Management, you will work with the Advisor Financial Solutions team and senior leaders to socialize scope, benefits and expected outcomes in the process of financial program evolution, including the promotion and socialization of these programs beyond the team.  Ongoing planning and tracking of these programs requires a skill in cross functional collaboration and communication. This individual should possess a strong ability understand business needs to inform and communicate target road maps, milestones and timelines through the life of the program. An emphasis on journey mapping and executive level messaging via PowerPoint is critical to this role.

The Advisor Financial Solutions team plays an instrumental role in the development and facilitation of programs and initiatives to support growth through differentiated financial solutions, including ongoing analysis and reporting on program profitability and success.

Responsibilities of the Sr. Analyst, Capital Management will include:

  • Develop strong business relationships across the enterprise, including executive management, to enable a mutual understanding opportunities and achieving close alignment on business needs.
  • Maintaining responsibility for delivering defined program outputs on time and that meet quality criteria aligning with program promotion
  • Keep management and key stakeholders well-informed on a timely basis on program progress, status and/or concerns ensuring that client expectations and satisfaction are met or exceeded.
  • Identify issues and ensure timely actions to resolve, including escalating when necessary
  • Ongoing need to leverage PowerPoint presentations, in addition to program documentation and artifacts, to communicate to steering committees, executive sponsors, finance, etc.
  • Perform high level business analysis when needed

In addition to being highly organized, key qualifications of the ideal candidate include:

  • Effective communication, presentation and writing skills
  • Four-year college degree or higher preferred – BA/BS degree in Finance, Business, or Economics (or related discipline) a plus
  • Project management skills, including the ability to continually prioritize and meet deadlines
  • Highly capable in MS PowerPoint and Excel, Visio
  • Advanced knowledge and ability with PowerPoint for executive level communication/story telling
  • Advanced interpersonal and behavioral skills including team and individual leadership, oral and written communication
  • Customer service/relationship management experience is desired
  • Strong organizational and time management skills
  • Strong meeting facilitation and presentation skills
  • Demonstrated ability to interact with senior leaders and customers
  • Ability to work in a team environment, motivate team members and influence behavior of others
  • Functions with a generalist mindset while also possessing an aptitude for strong analytical thinking
  • Highly motivated and able to adapt to changing priorities

About LPL Financial:

LPL Financial is a leader in the retail financial advice market and the nation’s largest independent broker/dealer*. We serve independent financial advisors and financial institutions, providing them with the technology, research, clearing and compliance services, and practice management programs they need to create and grow thriving practices. LPL enables them to provide objective guidance to millions of American families seeking wealth management, retirement planning, financial planning and asset management solutions. LPL and its affiliates have more than 3,700 employees with primary offices in Boston, Charlotte, and San Diego.

Our Culture:

If you join LPL, you will join a culture that believes in delivering a world-class client experience and looks to all employees to contribute to that goal by sharing their creativity, experience, and passion for continuous improvement. As a destination of choice, our top priorities are growth and development, social responsibility, and financial health for our employees. 

We offer competitive compensation and industry leading benefits, including a wellness facility with onsite fitness classes, healthy meal choices, and a walk-in clinic. We support employee financial health through a 401k match, ESPP, and employee discounts. Work/life balance is our foundation and is supported through paid holidays, and paid time off (including time to volunteer). We foster a diverse work environment through Employee Resource Groups and diverse strategic partnerships.  

Join the LPL team and help us make a difference by turning life’s aspirations into financial realities. Please login or create an account to apply to this position. Principals only. EOE

*As reported by Financial Planning magazine, June 1996-2017, based on total revenue.

Jul 18th, 2019 07:26AM Jul 18th, 2019 07:26AM Financials Financial Services

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