Strategic Financial Services Director, Head of Institution Oversight
3 weeks ago
LPL Financial seeks a Senior Vice President of Supervision to oversee the supervision of Institution Services clients. As a trusted leader, you will drive outcomes, lead cross-functional teams, and contribute to protecting the practice of our institution clients.
The ideal candidate has a combination of business acumen, wealth management experience, an entrepreneurial mindset, financial products knowledge, and regulatory compliance understanding while leading cross-functional teams.
- This role involves effectively leading a team of supervisory principals and managers with strategic vision, operational excellence, and ownership mentality at the forefront.
- You will be responsible for ensuring performance metrics are leveraged and applied consistently to continuously coach supervisory principals.
- Develop roadmaps, plans, and metrics that communicate progress, risks, issues, and approach to execution that support continuous learning and improve outcomes.
- Provide leadership and counsel to IS Programs to ensure seamless supervision, making it easy for these programs to comply.
- Partner proactively with key business partners, legal, and compliance to maintain an effective control structure and suggest ways to mitigate risk as needed.
- Act as an agent of change by identifying opportunities, translating vision into strategy, bringing stakeholders along in the process, and turning strategies into specific action plans.
- Oversee and evaluate day-to-day operations, making enhancements as needed.
Job Requirements:
- An undergraduate degree in Business, Accounting, Finance, or related discipline is preferred.
- 7+ years of industry experience.
- Substantive product knowledge including annuities, structured products, advisory platforms, and alternative investments is required.
- Knowledge of supervisory rules and regulations is preferred.
- Licenses/Certifications Required: Series 7, 9, and 10 (or Series 24). Series 66 (or S63 and S65) preferred.
Salary Range: $167,500 - $279,100
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