Where Ambition Meets Innovation
Build a career that matches all your initiative with an impressive dose of innovation. From cutting-edge resources and a collaborative environment to the freedom to make an impact and more, you’ll find the ingredients you need at LPL Financial to shape your success while helping clients pursue their financial goals.
Help shape and scale a strategically important securities lending capability at LPL Financial. In this highly visible role, you will partner with the Head of Securities Lending to advance sales and trading strategy, optimize inventory and collateral, deepen institutional relationships, and introduce technology-enabled capabilities across securities finance and capital management.
Job Overview
The Vice President, Securities Lending Sales and Trading is a senior sales trader responsible for executing and advancing LPL’s securities lending and funding activities. The role combines institutional relationship management, daily trading execution, inventory and conduit book management, risk partnership, and business development. Success requires deep securities finance expertise, sound judgment, and the ability to balance the flow-oriented needs of a broker-dealer with the fiduciary responsibilities of an investment adviser.
Responsibilities
Partner with the Head of Securities Lending to develop and implement a comprehensive securities lending program aligned with LPL’s business objectives and risk appetite.
Identify opportunities to grow revenue, improve efficiency, expand product capabilities, and strengthen the Securities Lending and Capital Management businesses.
Manage and negotiate U.S. domestic bilateral and conduit hard-to-borrow trading books, as well as easy-to-borrow revenue and funding capabilities.
Execute and oversee daily securities finance activities, including tri-party repo, pledging, funding, borrowing, lending, short sales, corporate actions, and dividend activity.
Optimize margin, fully paid inventory, collateral management, liquidity, and funding processes to maintain appropriate coverage and mitigate risk.
Support a comprehensive risk framework covering counterparty, market, liquidity, operational, legal, and regulatory risks.
Collaborate with Risk Management, Legal, Compliance, Operations, Technology, Credit, Finance, and Regulatory Reporting to develop policies, procedures, controls, and scalable solutions.
Assist Operations with short-sale settlement, volatile recalls, and buy-ins while protecting the fiduciary interests of LPL customer accounts.
Build and maintain strong relationships with institutional counterparties, internal stakeholders, service providers, and prospective clients.
Partner with Relationship Management teams to educate advisors and clients about the benefits and risks of securities lending.
Communicate program strategy, performance, opportunities, and risks to senior management and relevant committees.
Monitor industry trends, regulatory developments, and best practices, and translate insights into practical improvements and innovative product offerings.
What are we looking for?
We’re looking for strong collaborators who deliver exceptional client experiences and thrive in fast-paced, team-oriented environments. Our ideal candidates pursue greatness, act with integrity, and are driven to help our clients succeed. We value those who embrace creativity, continuous improvement, and contribute to a culture where we win together and create and share joy in our work.
Requirements
15 or more years of progressive experience in securities lending, securities finance, and capital management.
Demonstrated experience in securities lending markets, institutional counterparties, margin and fully paid inventory, conduit books, tri-party repo, collateral, liquidity, and funding.
Experience with trade lifecycle, corporate actions, dividend activity, short-sale settlement, recalls, buy-ins, T+1 settlement, and counterparty risk mitigation.
Active FINRA Series 7 and Series 63 licenses.
Experience with Bloomberg, FIS Loanet, Smartloan, DTCC, OCC, and Microsoft Office.
Core Competencies
Strategic securities finance judgment and data-driven problem-solving
Institutional sales, negotiation, and counterparty relationship management
Risk, regulatory, and fiduciary discipline
Cross-functional influence and executive communication
Operational rigor, adaptability, and continuous improvement
Preferences
Bachelor’s degree in Finance, Economics, Business Administration, or a related field.
Experience integrating fintech or regulatory technology solutions, including familiarity with SFTR.
Experience introducing new securities lending prospects, products, or revenue strategies in a complex broker-dealer or investment advisory environment.
Pay Range:
$211,200.00 - $352,000.00Actual 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!
Company Overview:
LPL Financial Holdings Inc. (Nasdaq: LPLA) is among the fastest growing wealth management firms in the U.S. As a leader in the financial advisor-mediated marketplace(6) , LPL supports over 32,000 financial advisors and the wealth management practices of approximately 1,100 financial institutions, servicing and custodying approximately $2.3 trillion in brokerage and advisory assets on behalf of approximately 8 million Americans. The firm provides a wide range of advisor affiliation models, investment solutions, fintech tools and practice management services, ensuring that advisors and institutions have the flexibility to choose the business model, services, and technology resources they need to run thriving businesses. For further information about LPL, please visit www.lpl.com.
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.
For further information about LPL, please visit www.lpl.com.
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.
EAC 5.19.26
Skills Required
- 15 or more years of progressive experience in securities lending, securities finance, and capital management
- Experience with securities lending markets, institutional counterparties, margin, fully paid inventory, conduit books, tri-party repo, collateral, liquidity, and funding
- Experience with trade lifecycle, corporate actions, dividend activity, short-sale settlement, recalls, buy-ins, T+1 settlement, and counterparty risk mitigation
- Active FINRA Series 7 and Series 63 licenses
- Experience with Bloomberg, FIS Loanet, Smartloan, DTCC, OCC, and Microsoft Office
- Bachelor's degree in Finance, Economics, Business Administration, or a related field
- Experience integrating fintech or regulatory technology solutions, including familiarity with SFTR
- Experience introducing securities lending prospects, products, or revenue strategies in a complex broker-dealer or investment advisory environment
LPL Financial Compensation & Benefits Highlights
The following summarizes recurring compensation and benefits themes identified from responses generated by popular LLMs to common candidate questions about LPL Financial and has not been reviewed or approved by LPL Financial.
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Retirement Support — Retirement programs include a company 401(k) match that is frequently highlighted as a strong component of total rewards. Feedback suggests these features meaningfully enhance long‑term financial value.
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Equity Value & Accessibility — An employee stock purchase plan with a meaningful discount and lookback is highlighted as accessible ownership. Feedback suggests the plan adds tangible upside beyond base salary.
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Parental & Family Support — Paid parental leave has been expanded alongside family‑building and adoption support. Feedback suggests these benefits compare well to large‑employer standards.
LPL Financial Insights
What We Do
Financial advice is changing, and at LPL Financial, we’re at the forefront. We’re building a future where advisors can—with no friction or complexity, as simple as turning the dials—pick the business model, services, technology, and product mix that best meet their clients’ needs. With one platform, one sign-on, and one team to call, you can take your business anywhere you want it to go. There are no limits to your growth, and we’ll partner with you every step of the way. Your greatness is our goal. 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.com Securities and Advisory Services offered through LPL Financial. A registered investment advisor, Member FINRA/SIPC.
