AVP, New Accounts

LPL Financial Corp; Fort Mill (SC); Presencial; USD 83 000 - 138 000; Tempo integral

Resumo da oferta

LPL Financial is seeking an Assistant Vice President, New Accounts Operations to lead and optimize New Account Opening and Account Maintenance. This role guides onshore and offshore teams, delivering compliant, scalable processes and a best-in-class advisor experience.

The AVP will partner across Operations, Product, Technology, Compliance, Legal, Risk, Financial Crimes, and Service to drive automation and continuous improvement while meeting regulatory standards and growth objectives.

Qualificações

• 5+ years of progressive leadership in financial services operations.
• FINRA Series 99 required.
• Experience with onboarding and brokerage operations preferred.
• Ability to lead onshore and offshore teams.

Responsabilidades

• Lead onshore and offshore teams and ensure SLAs and quality metrics.
• Drive automation and transformation initiatives.
• Partner with product, technology, compliance, risk, and other teams.
• Manage workforce planning, risk management, and controls.
• Develop leadership capability and succession planning.
• Communicate performance to senior leadership.

Conhecimentos

Leadership

Strategic thinking

Communication

Change management

Data analysis

MS Office

Prioritization

Regulatory awareness

Formação académica

FINRA Series 99

Ferramentas

Operational reporting tools

Descrição da oferta de emprego

_ 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:

LPL Financial is seeking a strategic and results-oriented leader to join the New Accounts leadership team as Assistant Vice President, New Accounts Operations. This role is responsible for leading the execution, optimization, and transformation of core New Account Opening and Account Maintenance operations while delivering best-in-class advisor experience.

The AVP will oversee onshore and offshore operational teams and provide leadership across service delivery, quality, risk management, workforce planning, and process improvement initiatives. This leader will be accountable for operational performance, driving automation and digital transformation efforts, and ensure the organization is positioned to scale efficiently while maintaining strong regulatory and control standards.

The successful candidate will serve as a key partner across Operations, Product, Technology, Compliance, Legal, Risk, Financial Crimes, and Service organizations to identify opportunities to simplify processes, improve advisor outcomes, enhance controls, and implement innovative solutions that support LPL’s strategic growth objectives.

Responsibilities:

Leadership & Organizational Excellence

• Lead, inspire, and develop high-performing onshore and offshore teams, fostering a culture of accountability, innovation, inclusion, and continuous improvement.
• Translate enterprise and departmental strategies into actionable operational priorities and measurable business outcomes.
• Drive organizational readiness and change management initiatives associated with automation, technology enhancements, and transformation programs.
• Build leadership capability within the organization through coaching, succession planning, and talent development.
• Champion operational excellence while balancing advisor experience, risk mitigation, and regulatory compliance.

Operational Leadership

• Provide end-to-end leadership and oversight of New Account Opening and Account Maintenance daily production staff.
• Ensure consistent achievement of service level agreements (SLAs), quality metrics, productivity goals, and risk management standards.
• Establish and monitor operational performance indicators, identifying trends and implementing corrective actions when necessary.
• Lead resolution efforts for complex operational issues, production incidents, and escalated advisor concerns.
• Oversee capacity planning, workforce management, and business continuity strategies to support evolving business demands and growth.
• Ensure operational procedures, knowledge management resources, and training materials remain current, accurate, and effective.

Transformation & Process Improvement

• Execute initiatives focused on process optimization, automation, workflow modernization, and operational scalability.
• Partner with Product, Technology, and Continuous Improvement teams to prioritize and implement efficiency opportunities.
• Utilize operational data, analytics, and performance metrics to identify root causes, drive decision-making, and improve business outcomes.
• Champion adoption of digital capabilities that reduce manual effort, improve cycle times, enhance quality, and strengthen advisor experience.
• Foster a culture of innovation and continuous improvement across the organization.

Risk Management & Governance

• Ensure operational processes align with regulatory requirements, firm policies, and industry standards.
• Maintain a strong control environment through oversight, monitoring, quality assurance, and issue management activities.
• Identify operational risks and proactively implement mitigation strategies.
• Partner with Compliance, Legal, Risk, and Financial Crimes teams to support audits, examinations, remediation efforts, and governance initiatives.

Strategic Partnerships & Stakeholder Management

• Develop strong relationships across Operations, Product, Technology, Compliance, Service, Legal, Risk, and Financial Crimes organizations.
• Influence cross-functional stakeholders to drive prioritization, resource alignment, and successful execution of strategic initiatives.
• Communicate operational performance, emerging risks, and transformation progress to senior leadership and key stakeholders.
• Serve as a trusted advisor and operational subject matter expert for New Accounts processes and capabilities.

Talent Development & Performance Management

• Establish clear performance expectations, objectives, and development plans for leaders and team members.
• Provide ongoing coaching, mentoring, and performance feedback that supports employee growth and engagement.
• Drive employee development, retention, and succession planning initiatives.
• Ensure teams possess the skills, tools, and resources necessary to successfully execute operational and strategic objectives.

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:

• 5+ years of progressive leadership experience within financial services operations, brokerage operations, account onboarding, or a related field.
• FINRA Series 99 required.

Core Competencies:

• Strong leadership and people development capabilities with a track record of building high-performing teams.
• Strategic thinker with the ability to translate vision into execution.
• Exceptional relationship-building and stakeholder management skills.
• Demonstrated ability to influence across organizational boundaries and lead through change.
• Strong analytical and problem-solving skills with experience leveraging data to drive decisions.
• Exceptional written, verbal, presentation, and communication skills.
• Proven ability to manage multiple priorities in a fast-paced, highly regulated environment.
• Strong business acumen with a focus on operational excellence, advisor experience, and risk management.
• Advanced proficiency in Microsoft Office applications and operational reporting tools.

Preferences:

• Experience supporting New Account Opening, Account Maintenance, Client Onboarding, or Brokerage Operations.
• Experience leading automation initiatives utilizing workflow, robotics, or digital transformation capabilities.
• Experience presenting operational performance and strategic recommendations to leadership.
• Demonstrated success leading onshore and offshore teams within a high-volume operational environment.
• Proven experience driving operational transformation, process improvement, automation, and change management initiatives.
• Experience managing performance through operational metrics, service levels, quality standards, and risk controls.
• Additional FINRA registrations (Series 7, 24, or equivalent) preferred.

Pay Range:

$82,812.00 - $137,917.00

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.

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. 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