Manager, Registrations

LPL Financial; Tempe (AZ); On-site; USD 81,000 - 135,000; Full time

Benefits offered by this job

401K matching

Employee stock options

Paid time off

Volunteer time off

Job summary

LPL Financial in Tempe, AZ is seeking a Manager, Registrations to lead a team responsible for licensing, appointment, and registration of financial professionals and firms, ensuring compliance with FINRA, SEC, and state regulations.

You will develop workflows, stay current with regulatory changes, collaborate with legal and compliance, and provide training on registration requirements, while delivering accurate reports to senior management.

Qualifications

• Knowledge of FINRA, SEC, and state securities regulations related to broker-dealer and investment adviser registration.
• Leadership and team management skills with a proven ability to motivate and develop staff.
• Analytical, problem-solving, and decision-making abilities.
• Written and verbal communication skills, with the ability to articulate complex regulatory information clearly.
• Proficient in Microsoft Office Suite (Word, Excel, PowerPoint) and experience with registration platforms (e.g., FINRA CRD/IARD).
• Ability to work effectively in a fast-paced, highly regulated environment.

Responsibilities

• Manage and mentor a team of registration specialists, fostering a collaborative and high-performing environment.
• Oversee the appointment process for LPLE and LPLF, registration processes for new and existing financial advisors, representatives, and firms with FINRA, SEC, and state regulatory bodies.
• Ensure timely and accurate submission of all required appointment requests, registration forms (e.g., U4, U5, BD, BR) and supporting documentation.
• Develop and implement efficient workflows and procedures for registration activities, identifying areas for process improvement and automation.
• Stay current with evolving FINRA, SEC, and state regulations related to licensing and registration, and translate these changes into actionable internal policies and procedures.
• Collaborate with legal, compliance, and other internal departments to address complex registration issues and provide expert guidance.
• Conduct regular audits of registration records to ensure accuracy, completeness, and compliance.
• Prepare and present reports on registration status, trends, and compliance metrics to senior management.
• Assist in the development and delivery of training programs for advisors and internal staff on registration requirements and best practices.
• Respond to inquiries from regulatory bodies, internal stakeholders, and financial professionals regarding registration matters.

Skills

Leadership

Regulatory knowledge

Analytical

Communication

MS Office

Registration platforms

Education

Bachelor's degree in business administration or finance

Tools

FINRA CRD/IARD

Job description

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.

The Manager, Registrations leads a team responsible for the licensing, appointment, and registration of financial professionals and firms. This role ensures compliance with state Departments of Insurance (DOI), FINRA, SEC, and state securities and investment advisory regulations. Key responsibilities include overseeing registration processes, maintaining accurate records, ensuring regulatory compliance, and providing guidance on registration and licensing requirements.

Responsibilities:

• Manage and mentor a team of registration specialists, fostering a collaborative and high-performing environment.
• Oversee the appointment process for LPLE and LPLF, registration processes for new and existing financial advisors, representatives, and firms with FINRA, SEC, and state regulatory bodies.
• Ensure timely and accurate submission of all required appointment requests, registration forms (e.g., U4, U5, BD, BR) and supporting documentation.
• Develop and implement efficient workflows and procedures for registration activities, identifying areas for process improvement and automation.
• Stay current with evolving FINRA, SEC, and state regulations related to licensing and registration, and translate these changes into actionable internal policies and procedures.
• Collaborate with legal, compliance, and other internal departments to address complex registration issues and provide expert guidance.
• Conduct regular audits of registration records to ensure accuracy, completeness, and compliance.
• Prepare and present reports on registration status, trends, and compliance metrics to senior management.
• Assist in the development and delivery of training programs for advisors and internal staff on registration requirements and best practices.
• Respond to inquiries from regulatory bodies, internal stakeholders, and financial professionals regarding registration matters.

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:

• Knowledge of FINRA, SEC, and state securities regulations related to broker-dealer and investment adviser registration.
• Leadership and team management skills with a proven ability to motivate and develop staff.
• Analytical, problem-solving, and decision-making abilities.
• Written and verbal communication skills, with the ability to articulate complex regulatory information clearly.
• Proficient in Microsoft Office Suite (Word, Excel, PowerPoint) and experience with registration platforms (e.g., FINRA CRD/IARD).
• Ability to work effectively in a fast-paced, highly regulated environment.

Preferred:

• Bachelor's degree in business administration, Finance, or a related field.
• 5+ years of experience in financial services, with at least 2 years in a leadership or supervisory role within registrations, licensing, or compliance.
• FINRA Series 7 and Series 24

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.

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.

EOE.