Mgr, Supervision

Lead with Purpose, Unlock Your Team’s Passion

At LPL, people leaders hold the key to the employee experience — shaping culture, driving performance, and guiding individuals to new heights. Because when that happens, we all win – clients, LPL, and most importantly our, employees.

If you're ready to lead with intention and discover what’s possible, LPL Financial invites you to apply today.

Job Overview:

The Supervision Manager leads and develops a team of Supervisory Principals engaged in the supervision of HOS advisors and centralized 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 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 the enterprise.

• Anticipate the needs of LPL Financial and the supervision 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’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:

• 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: $81,267.00 - $135,445.00

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!

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