Vice President, New Client Onboarding in San Diego, CA

$200K - $250K(Ladders Estimates)

LPL Financial   •  

San Diego, CA 92101

Industry: Finance & Insurance


8 - 10 years

Posted 51 days ago

Position Summary:

The Vice President of New Client On-boarding is a full time position located in Fort Mill or San Diego. This position has day-to-day leadership level responsibility for multiple on-boarding teams delivering daily support to prospects looking to affiliate with LPL Financial. The Senior Leader must develop a highly motivated and scale-able organization, focused on delivering an industry leading client experience. Outcomes achieved should fall into the categories of LPL's strategic goals and ease of doing business initiatives. This role will be responsible for the strategic direction and execution of all items associated with internal on-boarding processes for Financial Institutions, Large Enterprises and all registered and non-registered clients joining LPL Financial as well as converting to internal LPL platforms. The ideal candidate will have extensive experience with LPL Financial functions, process and service. In addition to direct people leadership and providing a world class client experience, this role includes ownership of strategic project initiatives. The candidate will also possess the ability to work with internal business partners as a high functioning participant or lead on initiatives as a key stakeholder. The candidate will need to drive efficiencies and procedural changes through strategic planning, communication and executing on the goals and initiatives of the department. This position will also require the ability to meet clients in person, participate in Home Office Visits and deliver on expected metrics. Lastly this individual will support the firm's M&A activities and drive for positive results. The ideal candidate will thrive in a fast-paced environment, and be able to adapt quickly and easily to change.

The Expertise We Are Looking For

  • •Prefer 10+ years of experience with a strong emphasis on client interaction roles/models. Candidates must demonstrate sustained high performance and high career potential.
  • •Bachelor degree required; Masters-level study preferred.
  • •C-Suite level presentation experience required. Must be comfortable leading and presenting in front of large groups of clients and staff.
  • •Must have demonstrated experience with excelling in an "influence model", where results are often achieved with and through others and innovative thinking.
  • •Proven results in the employee experience to ensure employees feel valued and are invested in their work. Committed to ensure high engagement and connecting them in understanding firm initiatives and their connection.
  • •Should have demonstrated experience in human capital capacity and budget management.
  • •Must evidence the business acumen and organizational agility to manage and lead effectively in a dynamic "change is the norm" environment.
  • •Should be an expert change management driver who has critical consensus building skills and an ability to drive complex initiatives and change across multiple functions within the organization by partnering with and leveraging others' expertise and roles.
  • •Must be able to build sound business relationships across the enterprise. Critical for enabling a strong mutual understanding of risks and opportunities, and achieving close alignment on business needs, direction, and risk appetite.
  • •Licenses/Certification Required: Securities Industries Exam (SIE) and Series 99 which can be obtained within 90 days of employment. Strongly preferred: Series 7, 63 and 65 (66).
  • •Software/Systems Skills Required: Microsoft applications (Word, PowerPoint and Excel)

Essential Functions:

  • •Coach, mentor, motivate and lead NCO team members through positive influence, action and accountability for their assigned work.
  • •The candidate must be able to communicate concise and clear expectations to team members and stakeholders in a timely and organized fashion.
  • •Ability to effectively lead staff through change management and execute on new procedures.
  • •Key escalation point for staff, peer leaders and business partners to quickly identify and handle issues with limited direction from NCO leadership.
  • •Ability to interact with senior leadership including SVP and EVP levels with minimal oversight from VP or SVP.
  • •Supports the discipline of planning, organizing, and managing resourcing, tools, and technology required to successfully complete specific project goals and objectives. Define scope, goals and deliverables in collaboration with advisors, senior management, and other applicable stakeholders.
  • •Estimate resources, participants and timelines needed to achieve department goals and determine need for additional staffing resources. Assist NCO leadership in project assignment and actively work with business partners to forecast future volumes to ensure adequate department coverage.
  • •Partner with other business units to provide perspective and to support on-boarding and assimilation of new Advisors into the firm, as well as maintain productive relationships in order to facilitate cross-organizational communications, coordination and transparency.
  • •The AVP will have direct reports on the New Client On-boarding team, that will range from (Assoc. On-boarding Consultant, On-boarding Consultant, Senior On-boarding Consultant and Manager).
  • •Proactively engage in the recruiting process by working closely with Business Development and Business Transition Partners to ensure clear communication of commitments and set expectations. Stay abreast of expected recruiting volumes to help ensure adequate Project Management coverage within the department.

Other Job Duties

  • •Develop and track metrics to help department leadership understand on-boarding volumes, average project duration, SLA time-frames on low risk compliance reviews and activity tracking.
  • •Serve as the subject matter expert by participating in Home Office Visits with prospects, providing onsite support to large enterprise or institution conversions, and providing consultation around NCO processes and best practices.
  • •Ability to confidently present in front of medium size groups.


  • •Bachelor's Degree in a Related Field preferred or work experience equivalent
  • •7-9 years of on-boarding experience required
  • •Microsoft Project and Access preferred
  • •Visio experience preferred
  • •Flexibility to travel as required
  • •Self-motivated team player
  • •Excellent verbal and written communication skills
  • •Superior Service Skills demonstrated through previous feedback
  • •Positive attitude and ability to adapt to various situations
  • •Comprehension of Oracle systems and Business Technology applications related to Brokerage and Advisory operations preferred
  • •Salesforce comprehension preferred
  • •Internal Home Office Visit accreditation required (within 120 days of joining)

Valid Through: 2019-9-26