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SVP, Supervision

LPL Financial

LPL Financial

Multiple locations
Posted on Friday, December 22, 2023

The Supervision team is seeking an SVP responsible for the supervision of LPL Enterprise LLC (LPLE), a new introducing broker dealer clearing through LPL Financial, as well as leadership of the LPL Financial Services (LPLF) Complex Products Supervision team and Institution Services Strategic Programs.

As we onboard representatives to the new introducing broker dealer, this SVP will be designated as the Chief Supervisory Officer for that broker dealer as well as the supervision of complex products (e.g. annuities, alternative investments, structured products, etc.) and Institution Services supervision for both broker dealers. In this role the SVP will have responsibility for:

  • Provides leadership and oversight to the LPLE supervision team to ensure supervision of advisors is adequate

  • Responsible for the integration of Prudential supervisors onto LPLE’s platform as well as onboarding additional supervisors as needed

  • Must ensure that policies and procedures are implemented and that change management plans are in place for supervisors and advisors to the extent they are necessary

  • Responsible for the complex product controls across both LPLE and LPLF to ensure compliance with applicable rules and regulations

  • Provides leadership and counsel to LPLF’s IS Strategic Programs to ensure that supervision is seamless with a goal of making it easy for these programs to comply

  • Effectively leads a team of supervisory principals and managers with strategic vision, operational excellence and ownership mentality at the forefront of everything they do

  • Partners proactively with key business partners, legal and compliance to maintain an effective control structure and suggests way to mitigate risk as needed

  • Acts 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.

  • Oversees and evaluates day-to-day operations.

  • Leads efforts to design and implement a roadmap for operational success, and ensures it is followed and updated consistently.

  • Directs the development and implementation of performance dashboards Drives discussions with executive management and makes recommendations regarding a variety of policy decisions related to LPLE, Complex Products and IS Strategic Programs


  • Minimum of Bachelor's Degree; (law degree a plus)

  • 15+ years of brokerage, advisory, and/or complex product supervision, compliance, risk management, and/or relationship experience

  • Series 7 & 24

  • Project Management and Change Management experience

  • Strategy formulation and implementation; tracking and measuring progress against agreed objectives/ deliverables.


  • Demonstrated ability to forge solid relationships with senior management teams interdepartmentally and cross-functionally, as well as having a client-centric relationship focus

  • Executive-level presentation and communication skills

  • Proven strength in General Manager, Talent Management and Strategic Agility skills

  • Extensive Product Management Experience

  • Experience with Continuous Improvement

Pay Range:


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. Your recruiter will be happy to discuss all that LPL has to offer!

Why LPL?

At LPL, we believe that objective financial guidance is a fundamental need for everyone. As the nation’s leading independent broker-dealer, we offer an integrated platform of proprietary technology, brokerage, and investment advisor services. We provide you with a work environment that encourages your creativity and growth, a leadership team that is supportive and responsive, and the opportunity to create a career that has no limits, only amazing potential.

We are one team on one mission. We take care of our advisors, so they can take care of their clients.

Because our company is not too big and not too small, you can seize the opportunity to make a real impact. We are committed to supporting workplace equality, and we embrace the different perspectives and backgrounds of our employees. We also care for our communities, and we encourage our employees to do the same. This creates an environment in which you can do your best work.

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Join the LPL team and help us make a difference by turning life’s aspirations into financial realities. Please log in or create an account to apply to this position. 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 (800) 877-7210.