AVP, New Accounts

LPL Financial•Charlotte, NC

About The Position

LPL Financial is seeking a strategic, results-oriented leader to join its New Accounts leadership team as Assistant Vice President, New Accounts Operations. This role leads the execution, optimization, and transformation of New Account Opening and Account Maintenance operations, with a focus on delivering a best-in-class advisor experience. The AVP oversees onshore and offshore operational teams and is responsible for service delivery, quality, risk management, workforce planning, and process improvement. The leader is accountable for operational performance and for advancing automation and digital transformation so the organization can scale efficiently while maintaining strong regulatory and control standards. The role partners with Operations, Product, Technology, Compliance, Legal, Risk, Financial Crimes, and Service teams to simplify processes, improve advisor outcomes, strengthen controls, and implement solutions supporting LPL’s strategic growth. LPL describes its people leaders as shaping culture, driving performance, and developing employees. The company seeks collaborators who deliver exceptional client experiences and thrive in fast-paced, team-oriented environments, and who pursue excellence, act with integrity, embrace creativity and continuous improvement, and contribute to shared success.

Requirements

At least 5 years of progressive leadership experience in financial services operations, brokerage operations, account onboarding, or a related field.
FINRA Series 99 registration required.
Strong leadership and people development capabilities, with a track record of building high-performing teams.
Strategic thinking and the ability to translate vision into execution.
Exceptional relationship-building and stakeholder management skills.
Ability to influence across organizational boundaries and lead through change.
Strong analytical and problem-solving skills, including experience using data to make decisions.
Exceptional written, verbal, presentation, and communication skills.
Ability to manage multiple priorities in a fast-paced, highly regulated environment.
Strong business acumen focused on operational excellence, advisor experience, and risk management.
Advanced proficiency with Microsoft Office applications and operational reporting tools.

Nice To Haves

Experience supporting New Account Opening, Account Maintenance, Client Onboarding, or Brokerage Operations.
Experience leading automation initiatives using workflow, robotics, or digital transformation capabilities.
Experience presenting operational performance and strategic recommendations to leadership.
Demonstrated success leading onshore and offshore teams in 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, such as Series 7, Series 24, or equivalent.

Responsibilities

Lead, inspire, and develop high-performing onshore and offshore teams, fostering accountability, innovation, inclusion, and continuous improvement.
Translate enterprise and departmental strategies into operational priorities and measurable business outcomes.
Lead organizational readiness and change management for automation, technology enhancements, and transformation programs.
Develop leadership capability through coaching, succession planning, and talent development.
Balance advisor experience, risk mitigation, and regulatory compliance while championing operational excellence.
Oversee daily New Account Opening and Account Maintenance production operations end to end.
Ensure achievement of service level agreements, quality metrics, productivity goals, and risk management standards.
Establish and monitor operational performance indicators, identify trends, and implement corrective actions.
Lead resolution of complex operational issues, production incidents, and escalated advisor concerns.
Oversee capacity planning, workforce management, and business continuity strategies.
Keep operational procedures, knowledge resources, and training materials current, accurate, and effective.
Execute process optimization, automation, workflow modernization, and operational scalability initiatives.
Partner with Product, Technology, and Continuous Improvement teams to prioritize and implement efficiency opportunities.
Use operational data, analytics, and performance metrics to identify root causes, inform decisions, and improve outcomes.
Promote digital capabilities that reduce manual work, improve cycle times and quality, and enhance advisor experience.
Foster innovation and continuous improvement across the organization.
Ensure operational processes comply with regulatory requirements, firm policies, and industry standards.
Maintain a strong control environment through oversight, monitoring, quality assurance, and issue management.
Identify operational risks and implement mitigation strategies.
Partner with Compliance, Legal, Risk, and Financial Crimes teams on audits, examinations, remediation, and governance.
Build relationships across Operations, Product, Technology, Compliance, Service, Legal, Risk, and Financial Crimes.
Influence stakeholders to drive prioritization, resource alignment, and execution of strategic initiatives.
Communicate performance, emerging risks, and transformation progress to senior leaders and stakeholders.
Serve as a trusted advisor and operational subject matter expert for New Accounts processes and capabilities.
Set performance expectations, objectives, and development plans for leaders and team members.
Provide coaching, mentoring, and performance feedback to support employee growth and engagement.
Drive employee development, retention, and succession planning.
Ensure teams have the skills, tools, and resources to meet operational and strategic objectives.