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

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 . 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. 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