Mgr, Supervision

What if you could build a career where ambition meets innovation? At LPL Financial, we empower professionals to shape their success while helping clients pursue their financial goals with confidence. What if you could have access to cutting-edge resources, a collaborative environment, and the freedom to make an impact? If you're ready to take the next step, discover what’s possible with LPL Financial.

Job Overview:

The Supervision Manager leads and develops a team of Supervisory Principals engaged in the supervision of HOS advisors, OSJ managers, and centralize product reviews for the Firm.  Additionally, the Supervision Manager coordinates and strategically executes the oversight functions of Regional Supervision. This position will also include responsibility for leading special projects as defined by the management team and collaborating with employees at all levels throughout the firm.

Responsibilities:

• Talent Management - Responsible for hiring, training, and motivating staff. 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 – Must handle escalations and maintain positive relationships with Advisors, OSJ Managers and internally throughout the firm. Manager will engage and coordinate with Business Consultants and socialize concerns and escalated matters with senior leaders, as needed.

• Production Management – Must ensure staff adheres to service level agreements. 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. Must also analyze, coordinate and define 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. Understand and interpret 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.

• Must have extensive product and industry knowledge

• Prioritize tasks and project management

• Serve as a key contact for internal departments, such as Operations, Service Center, Legal and various departments across Compliance, Legal, & Risk (CLR).

• Anticipate the needs of LPL Financial and the CLR organization in order to be able to define next steps with projects and other functions and be able to independently drive/execute projects.

• Identify specific regulatory issues, the application of regulatory requirements, and provision of advice on these rules and create and maintain internal policies, controls, etc.

• Identify and report significant gaps in policy, procedure and controls to management, while offering corrective actions for consideration and implementation.

What 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:

• 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:

• Undergraduate degree in Business, Accounting, Finance, or related discipline

• Prior leadership/team management experience preferred

Pay Range:

Company Overview:

LPL Financial Holdings Inc. (Nasdaq: LPLA) was founded on the principle that the firm should work for advisors and institutions, and not the other way around. Today, LPL is a leader in the markets we serve, serving more than 23,000 financial advisors, including advisors at approximately 1,000 institutions and at approximately 580 registered investment advisor ("RIA") firms nationwide. We are steadfast in our commitment to the advisor-mediated model and the belief that Americans deserve access to personalized guidance from a financial professional.

At LPL, independence means that advisors and institution leaders have the freedom they deserve to choose the business model, services, and technology resources that allow them to run a thriving business. They have the flexibility to do business their way. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors and institutions, so they can take care of their clients.

Join LPL Financial: Where Your Potential Meets Opportunity

At LPL Financial, we believe that everyone deserves objective financial guidance. As the nation’s leading independent broker-dealer, we offer an integrated platform of cutting-edge technology, brokerage, and investment advisor services.

Why LPL?

• Innovative Environment: We foster creativity and growth, providing a supportive and responsive leadership team. Learn more about our leadership team here!

• Limitless Career Potential: Your career at LPL has no limits, only amazing potential. Learn more about our careers here!

• Unified Mission: We are one team on one mission—taking care of our advisors so they can take care of their clients. Learn more about our mission and values here!

• Impactful Work: Our size is just right for you to make a real impact. Learn more here!

• Commitment to Equality: We support workplace equality and embrace diverse perspectives and backgrounds. Learn more here!

• Community Focus: We care for our communities and encourage our employees to do the same. Learn more here!

• Benefits and Total Rewards: Our Total Rewards package goes beyond just compensation and insurance. It includes a mix of traditional and unique benefits, perks, and resources designed to enhance your life both at work and at home. 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 (855) 575-6947.

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