Are you a team player? Are you curious to learn? Are you interested in working in meaningful projects? 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:

The ideal candidate will be responsible for managing staff in a fast paced, detail oriented environment with strict deadlines. This department is a dynamic cross-functional team that provides solutions while keeping lines of communication open with advisors as well as a wide range of LPL departments.

Responsibilities:

• Ability to work through escalations in a timely manner
• Understand and adhere to regulatory controls pertaining to all internal audits
• Act as a subject matter expert on operational policies and procedures
• Provide coaching and feedback on an ongoing basis to employees. If needed, resolve employee conflicts
• Evaluate and conduct 1 on 1 sessions on a monthly basis
• Provide problem solving support to staff
• Monitor and analyze department trends and errors to improve on training opportunities
• Ability to provide reliable, straightforward, personal attention to LPL associates as well as LPL clients
• Communicating with outside vendors (Beta, OCC, BONY, DTC, DST etc) and attend any regular calls
• Able to provide and discuss any Risk question pertaining to the department's daily activity and attend weekly/monthly meetings as needed
• Ability to handle and assist in firm wide projects confidently
• Calculate and Review employee individual performance stat
• Monitor team mailboxes to ensure completeness and on task
• Discuss performance issues and successes with management
• Provide weekly status report of issues pertaining to department and/or employees

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:

• Minimum 3-5 years Broker-Dealer experience
• Bachelor's degree preferred in Finance or related field
• Knowledge of mutual fund, equities, options, fixed income, metals and alternative investment securities
• Series 7 preferred or series 99 required (can achieve within 120 days)
• MS Office required

Core Competencies:

• Excellent verbal and written communication skills to interact effectively with internal and external contacts
• Ability to multi task in a fast paced environment and have strong decision making skills
• Excellent analytical and problem solving skills

Preferences:

• Prior management or leadership experience preferred
• Experience with BONY, DTC and OCC preferred
• Beta experience preferred

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.

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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.