AVP, New Accounts Operations & Transformation

LPL Financial; Charlotte (NC); On-site; USD 83,000 - 138,000; Full time

Job summary

LPL Financial is seeking an AVP, New Accounts Operations to lead and optimize the New Accounts Opening and Account Maintenance functions. You will oversee onshore and offshore teams, drive performance, and partner with product, technology, and risk teams to scale operations with strong controls.

The role emphasizes transformation, automation, and a world-class advisor experience, working across regulatory and business units to deliver measurable outcomes.

Qualifications

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

Responsibilities

• Lead onshore and offshore teams delivering New Account Opening and Account Maintenance operations.
• Ensure SLAs, quality metrics, productivity, and risk standards are met.
• Monitor performance indicators and implement corrective actions.
• Resolve complex operational issues and production incidents.
• Oversee capacity planning, workforce management, and business continuity.

Skills

Leadership

Stakeholder Mgmt

Regulatory

Analytical

Strategic thinking

Communication

Tools

Microsoft Office

Job description

LPL Financial is seeking an AVP, New Accounts Operations to lead and optimize the New Accounts Opening and Account Maintenance functions. You will oversee onshore and offshore teams, drive performance, and partner with product, technology, and risk teams to scale operations with strong controls.

The role emphasizes transformation, automation, and a world-class advisor experience, working across regulatory and business units to deliver measurable outcomes.