The Assistant Vice President of Operations for the Settlements department will be responsible for the oversight of the Settlements, Purchase and Sales, Mutual Fund Corrections, and Custody departments. These departments have management and staff located in both the Fort Mill and San Diego locations. The Assistant Vice President is accountable for execution of the overall functional strategy and goal setting, while also ensuring alignment with department and organizational initiatives with a focus on risk management and production standards. The Assistant Vice President must possess strong communication, time management, organizational, and analytical skills with a good eye for identifying and understanding firm risk and regulatory guidelines as well as client experience. An ideal candidate will have a strong background in brokerage/financial services, extensive experience working with both internal/external auditors, and have a strong management background.
Specific Responsibilities include:
Develop, prioritize and execute a roadmap for the strategic vision of organization and department
Utilize key operational and transactional data to derive actionable insights that will improve operational performance and advisor experience. Make improvement recommendations (supported by data and metrics) to Executive Leadership Team
Evaluate and communicate to senior management, trends and emerging issues affecting current business strategies and indicate new strategic opportunities
Consistently develop people through coaching, rewards and recognition, and providing experienced based developmental opportunities
Ensures proper application of and compliance with internal and regulatory standards, guidelines and procedures
Partner with other leaders from across the firm to achieve goals and initiatives
What we want to see in you:
You thrive and excel in a very fast paced environment
You can think strategically and have a good eye for what may be coming
You make well educated decisions, that are fact based and metrics driven to realize goals and objectives
You have experience managing risk, both regulatory and firm based
You can communicate effectively with other areas of the firm, specifically senior leadership from Service Center, Compliance, Legal, Risk, Technology and Internal Audit
You have at least 5 years of experience relating to Broker/Dealer Operations and have your series 7, 66, with the series 24 recommended.
Bachelor's degree required, Master's degree preferred
You lead and develop your leadership team and promote personal and career growth across your 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.
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
Lpl Financial Services