Description:
Job Overview:The Vice President, Investigations will report to the Head of Investigations and will manage a team of other lawyers and investigators. The successful candidate will have an understanding of employment law, proper handling of employee relations matters, and prior experience conducting and coordinating process driven investigations, leading a team of investigators and analysts, and providing investigative findings to appropriate parties.
Responsibilities:
- Evaluate legal, financial, regulatory and reputational risk in investigative referrals and escalate to senior management as needed; act as a liaison with other LPL departments, including Human Resources to coordinate investigative efforts.
- Manage a team of investigators and provide guidance and oversight on the team's investigations; conduct, coordinate, and supervise significant investigations.
- Identify, advance and oversee productivity and efficiency initiatives within the group.
- Provide leadership to address key strategic initiatives and opportunities, working in collaboration with multiple functions and business channels.
- Consult and coach HR team members and business unit managers on company policy interpretation and investigations and provide solution-oriented recommendations and partner with the HRBP in the execution of solutions.
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:
- Minimum of seven years' experience conducting sound, process-driven investigations.
- Strong knowledge of Employment law, with demonstrated experience in investigative principles.
- General knowledge of Financial Services industry regulation, i.e., at a bank, broker-dealer, credit union, insurance company.
- Experience managing a team.
- Ability to travel as needed.
Core Competencies:
- Excellent oral and written communication skills, including substantial experience in conducting interviews.
- Possess superior judgment and aptitude for evaluating investigative referrals in a timely and substantive manner with strong interpersonal skills and an ability to interact with senior business and compliance partners across the firm.
- Proven ability to multi-task.
- Deep analytical skills with demonstrated ability to work within the "gray" and make sound assessments and provide effective recommendations for varying situations/circumstances.
- Effective, active listening skills.
- Demonstrated ability to work independently and across group settings with focus on adjusting to different work styles and personalities.
- Rhetorically sensitive - knows what to say and when, as well as when to involve own manager.
- Ability to prioritize workload, remain flexible, accept feedback and adjust accordingly under tight deadlines.
Preferences:
- Juris Doctor degree, with admission in good standing to a State Bar
- Knowledge of California employment laws and regulations.
- Experience at a broker/dealer, securities-related regulatory entity, law enforcement agency, or a law firm, with significant exposure to investigation practices and procedures involving misappropriation, theft, fraud, etc.
Pay Range:
$163,725-$272,875/year
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!