LPL Financial
AVP, Operations - Risk and Remediations
LPL Financial, Fort Mill, South Carolina, United States, 29715
Are you a team player? Are you curious to learn? Are you interested in supporting others as they grow their business? Are you interested in being part of a team that is working to transform and do things differently? If so, LPL Financial is the place for you!LPL Financial (Nasdaq: LPLA) was founded on the principle that the firm should work for the advisor, and not the other way around. Today, LPL is a leader in the markets we serve, supporting more than 18,000 financial advisors, 800 institution-based investment programs and 450 independent RIA firms nationwide. We are steadfast in our commitment to the advisor-centered model and the belief that Americans deserve access to personalized guidance from a financial advisor. At LPL, independence means that advisors have the freedom they deserve to choose the business model, services, and technology resources that allow them to run their perfect practice. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors, so they can take care of their clients.Job Overview:
We are seeking an experienced and results-driven Assistant Vice President (AVP) to lead our Advisory Operations Risk and Remediation's team. As the AVP, you will oversee a specialized team of high-performing Analysts who play a crucial role in leading all remediation through each life cycle of the overall remediation process. You will leverage your strong leadership skills to help drive prioritization and funding for department projects and initiatives. You will also utilize your technical expertise to make data-driven decisions that drive cross-functional collaboration with your team, business owners as well as finance, risk, and technology. The successful candidate will combine strong leadership, technical proficiency, business acumen and a deep understanding of the risk, remediation, advisor experience, and to drive operational excellence and ensure the successful execution of strategic initiatives.Responsibilities:
Team management including goal-setting, performance reviews and feedback loopsResource allocation and efficiency trackingBusiness requirement review, finance approval, risk analysis, and risk remediation sign-offRisk remediation and compliance with industry regulationsAlignment and collaboration with business owners, product management and technology teamsAn eye for risk recognition, program management, and timely conclusionsEffectively develop KPI’s, OKR’s and reporting for senior leadersWhat are we looking for?
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:
Demonstrated ability to lead a high-performing teamUnderstanding of Risk and Risk functionalityAbility to solve problems via Lean Six Sigma PrinciplesDemonstrated ability to lead successful, end-to-end projectsUnderstanding of root cause analysisProficient in Microsoft suite (SQL, Word, PowerPoint, Excel, etc.)FINRA SIE/Series 99 or equivalent. Must obtain within 90 days.Core Competencies:
Ability to motivate, inspire, and empower othersDevelop and communicate a vision to create strong adoptionStrong time management and the ability to work independentlyStrong verbal and written communication skills; ability to communicate effectively to various levels throughout the organizationFlexible, adaptive and agileExperience in creating and facilitating presentations.Ability to drive effective meetings both in person and virtually.Preferences:
Basic Bloomberg knowledgePay Range:
$85,720-$128,580/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!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.Want to hear from our employees on what it’s like to work at LPL? Watch this! We take social responsibility seriously. Learn more here. Want to see info on our benefits? Learn more here.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 (800) 877-7210.
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We are seeking an experienced and results-driven Assistant Vice President (AVP) to lead our Advisory Operations Risk and Remediation's team. As the AVP, you will oversee a specialized team of high-performing Analysts who play a crucial role in leading all remediation through each life cycle of the overall remediation process. You will leverage your strong leadership skills to help drive prioritization and funding for department projects and initiatives. You will also utilize your technical expertise to make data-driven decisions that drive cross-functional collaboration with your team, business owners as well as finance, risk, and technology. The successful candidate will combine strong leadership, technical proficiency, business acumen and a deep understanding of the risk, remediation, advisor experience, and to drive operational excellence and ensure the successful execution of strategic initiatives.Responsibilities:
Team management including goal-setting, performance reviews and feedback loopsResource allocation and efficiency trackingBusiness requirement review, finance approval, risk analysis, and risk remediation sign-offRisk remediation and compliance with industry regulationsAlignment and collaboration with business owners, product management and technology teamsAn eye for risk recognition, program management, and timely conclusionsEffectively develop KPI’s, OKR’s and reporting for senior leadersWhat are we looking for?
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:
Demonstrated ability to lead a high-performing teamUnderstanding of Risk and Risk functionalityAbility to solve problems via Lean Six Sigma PrinciplesDemonstrated ability to lead successful, end-to-end projectsUnderstanding of root cause analysisProficient in Microsoft suite (SQL, Word, PowerPoint, Excel, etc.)FINRA SIE/Series 99 or equivalent. Must obtain within 90 days.Core Competencies:
Ability to motivate, inspire, and empower othersDevelop and communicate a vision to create strong adoptionStrong time management and the ability to work independentlyStrong verbal and written communication skills; ability to communicate effectively to various levels throughout the organizationFlexible, adaptive and agileExperience in creating and facilitating presentations.Ability to drive effective meetings both in person and virtually.Preferences:
Basic Bloomberg knowledgePay Range:
$85,720-$128,580/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!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.Want to hear from our employees on what it’s like to work at LPL? Watch this! We take social responsibility seriously. Learn more here. Want to see info on our benefits? Learn more here.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 (800) 877-7210.
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