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AVP, Operations

LPL Financial

LPL Financial

Fort Mill, SC, USA · Charlotte, NC, USA · Fort Mill, SC, USA · Charlotte, NC, USA
Posted on Wednesday, January 31, 2024

Assistant Vice President (7A) / Client Compensation: Quality Assurance

LPL Financial is seeking a strong applicant to join our team as a leader in Client Compensation. As the Assistant Vice President of Client Compensations Quality Assurance, you will lead a team of skilled compensation subject matter exports. This team’s focus is on quality and ensuring the department’s audit controls are executed appropriately. Strong leadership skills are essential to develop the team and lead them through the Commission Transformation Project (Commission System Replacement) within the next two years. The position requires a good working relationship with STORM and Internal Audit in addition to being able to quickly establish strong and effective working relationships with the department.

Job Duties and Responsibilities:

  • Advocate and implement strategic plans as set by Executive management in accordance with business need
  • Continuous relationship building with internal partners throughout LPL
  • Provide oversight for all team activity to ensure controls are being met
  • Ensure timely completion of all work leading up to bi-monthly scheduled payout as this is a mission critical function
  • Responsible for overseeing process improvement initiatives
  • Ensure proactive interactions and communications take place with internal business partners
  • Provide support for the Compensation Department as needed
  • Strong Leadership skills required and the ability to effectively lead people
  • Deliver on any projects and ad-hoc reporting as required
  • Ability to adapt, respond and make critical decisions in a fast-paced environment
  • Ability to learn and understand the ComReg system
  • Manage team PTO and attendance
  • Create and administer performance plans and performance reviews for Team Leads and Associates
  • Develop and distribute materials relevant to policy and procedural updates
  • Serve as a mentor for Managers throughout Client Compensation
  • Understand key operational initiatives, their impact to business volumes and develop continuity and contingency strategy


  • 7 - 10 years managing experience required
  • 5+ years of Financial Services experience required
  • FINRA Series 99 required; other FINRA licenses are acceptable
  • Must be a pro-active leader who can anticipate and address potential issues before they arise
  • Advanced skills in Microsoft Office Suite: Excel, Powerpoint, Word
  • Strong written and oral communications
  • Strong work ethic and organizational skills
  • Pro-active/result oriented

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 (855) 575-6947.