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Manager, Registrations

3 months ago

Tempe, United States LPL Financial Full time

Are you a team player? Are you curious to learn? Are you interested in working in meaningful projects? Do you want to work with cutting-edge technology? 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 Registrations team is seeking Manager to support the strategy and execution of LPL Enterprise LLC (LPL E), a new introducing broker dealer clearing through LPL Financial. The Manager will report to the AVP of LPL Enterprise Registrations and will assist them with day-to-day department oversight, people management and regulatory compliance/controls. The Manager of Registrations is responsible for managing a team that processes securities registrations and licensing requests for Advisors and Office Staff of LPL Enterprise. The Manager is responsible for ensuring the firm’s registration requirements are met per all required regulations. Managerial duties include coaching and development of the Registrations staff, employee engagement, project management and continuous talent development within the Registrations team.

**Responsibilities**:

- Staff 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 assist with team meetings, and conduct one on one meetings in addition conducting employee evaluations
- Service Management - Must handle escalations and maintain positive relationships with Advisors, OSJ Managers, and internal relationships throughout the firm.
- Performance Management - Must ensure staff adheres to service level agreements. Must also analyze, coordinate, and define risk for LPL Enterprise in the scope of impending rule changes, business model needs, risk-based mitigation approaches that may yield changes to functions, and departmental requirements. 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. Understand and interpret rule requirements and the impact of their changes, and understand the business needs of LPL Enterprise, our advisors, and other departments. 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
- 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.
- Monitor staff and department statistics to identify any anomalies and/or spikes in volume that may need to be addressed. Ability to use this information to proactively plan for future occurrences or streamline processing.
- Interact appropriately and confidently with Senior Management.
- Prioritize own tasks, efficiently delegate work to staff and be a spokesperson for the Registrations team during project management
- Serve as a key contact for internal departments, such as Supervision, Operations, Service Center, Legal and various departments across Compliance, Legal and Risk (CLR).
- Anticipate the needs of LPL Enterprise and define next steps with projects and other functions and be able to independently drive/execute projects.
- 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**:

- Proficient with FINRA and State Registration rules and regulations. Ability to adapt and to any changes and implement new changes as