LPL Financial

Marketing

• Gain an understanding of the financial institution culture and program growth goals
• Develop a marketing calendar that reflects the program strategy
• Conduct regular accountability meetings with financial institution marketing partners
• Complete a quarterly scorecard for each institution
• Send welcome email explaining initial consulting process
• Conduct 3-4 annual individual consulting sessions
• Craft the quarterly newsletter for the MAM audience
• Manage the timeline for program webinars

Marketing Consultant

Business Development Rep

• Prospect financial advisors to gauge/create interest in meeting with a LPL recruiter
• Use the news cycle, territory makeup and direction of the recruiters/leaders to execute on weekly prospecting campaigns
• Use independent judgement to qualify a lead, determining if the lead should be introduced to the pipeline by presenting to the Internal Regional Director or field Regional Director
• 100 outreaches per day – cold calls (primary), individual emails and social media outreaches (LinkedIn)
• Utilize Salesforce.com to track individual KPIs and understand the impact of lead flow on territory funnel and results
• Develop skillset, knowledge base and industry experience in order to qualify for next level opportunity as an Internal Regional Director.

Business Development Associate

Operations

• Assist in daily oversite and activities related to move money activities
• Analyze move money activity to identify trends
• Provide team support with complex questions and/or escalations
• Collaborate within the team to implement new processes and controls
• Monitor team and individual team productivity and quality
• Manage escalated issues in a timely manner
• Lead and participate in daily huddles
• Foster a positive team environment

Lead Operations Specialist

Platform Engineer

• Build and operate LPL Financial's enterprise AI platform
• Establish consistent engineering standards for AI development
• Ensure AI systems operate safely within enterprise governance and regulatory constraints
• Partner closely with architecture, security, and product engineering teams

VP, AI Platform Engineering

Artificial Intelligence

• Maintain strong awareness of the rapidly evolving AI ecosystem
• Translate new AI capabilities into practical engineering patterns
• Accelerate adoption of the enterprise AI platform across engineering teams
• Ensure experimentation leads to reusable capabilities rather than isolated prototypes
• Provide a clear feedback loop to the AI Platform organization on emerging needs
• Continuously evaluate emerging AI technologies and techniques
• Develop prototypes and reference implementations that validate new AI approaches and produce reusable engineering patterns
• Translate experimentation into practical assets
• Help engineering teams adopt AI capabilities effectively
• Drive awareness and adoption of AI capabilities across the enterprise

VP, AI Innovation – Enablement Leader

Affiliate Manager

• Provide repapering support to aid new advisors in moving their book of business to LPL Financial
• Repapering support will be provided virtually and will include opening accounts, cash management and transfer paperwork
• Leverage SmartSheet to communicate with advisors on items that are complete, in process and/or Not In Good Order

Repapering Partner

Customer Success Manager

• Coordinating workflow and resources on the LINSCO Compensation team.
• Assisting with clearing requests and efforts for scheduled payout cycles.
• Consulting and providing tailored service to LINSCO Advisors and L&S advisors.
• Processing and correcting any compensation issues for the employee model within a timely fashion.
• Sharing trends and pain points with leadership and business partners to find solutions and pursue process improvements.
• Providing subject matter support for other business units including coordinating resolution of escalated issues in group chats and individual consultations.
• Assisting with service recovery efforts through coordination of resources to resolve issues with aged requests, escalated issues, and other complex activities that degrade the Advisor experience.
• Assisting with conversions to LINSCO or L&S throughout the year as the model continues to grow.
• Supporting and, at times, leading initiatives to improve and enhance the Advisor experience while positively impacting the broader LPL organization.
• Assisting the broader Client Compensation Service team with overflow calls and cases when needed.

Client Experience Manager – Client Compensation

Support Engineer

• Work closely with the AVP to support the day-to-day management, optimization, and continuous improvement of the Client Success Enablement Salesforce platform including the following key areas:
• Perform data updates, data pulls, and data uploads to support reporting, leadership insights, and campaign execution.
• Execute Salesforce campaigns including audience segmentation, campaign logic, testing, and performance tracking; Campaign operations support
• Support end-to-end execution of BAU Salesforce processes following defined standards and procedures.
• Conduct regular data hygiene reviews and resolve issues such as duplicates, incomplete records, and stale data.
• Support the AVP in reviewing and prioritizing Salesforce requests to improve operational efficiency and transparency.
• Own assigned tasks from start to finish with a focus on clarity, accuracy, and timely delivery.
• Identify process gaps or improvement opportunities and recommend solutions to improve effectiveness.
• Support the AVP in gathering requirements, validating business needs, and coordinating testing activities to ensure high quality delivery.
• Maintain alignment across cross functional partners to ensure clarity of expectations, timelines, and business outcomes.
• Serve (with the AVP) as a primary point of contact for Client Success Salesforce platform related questions, feedback, and issue resolution.
• Troubleshoot user-reported Salesforce issues and analyze trends to identify root causes or improvement areas.
• Track and report on performance metrics related to campaigns, data hygiene, user activity, and support requests.
• Provide day-to-day platform support and basic troubleshooting for Client Success Salesforce users.

Salesforce Support Analyst

• Partner with EBDO and segment leadership to add prospective Financial Institutions into the pipeline through active prospecting (cold calling, networking, and leveraging social media)
• Effectively use Salesforce to capture activity, updates, and to schedule/plan next action steps
• Partner with EBDO and segment leadership to provide solutions and strategies in efforts to advance prospective Financial Institutions through the pipeline
• Schedule and prepare Home Office Vist (HOV) and Field Office Visit (FOV) meeting checklists; including agenda, internal partner coordination, and effective meeting planning
• In coordination with the EBDOs and firm Sales Enablement resources, utilizing content to build presentations that effectively communicate the LPL Institution Services value proposition for all FOVs and HOVs.
• Coordinate meeting follow-up items and draft responses to be sent to prospective financial institution
• Execute upon agenda delivery for all external and internal meetings and partner with sales strategy team to deliver effective content for prospective financial institution engagements
• Participate with EBDO in regularly-scheduled check-ins with enterprises that specialize in the support of financial institutions
• Leverage underwriting system and work with advisor capital or corporate development to approve pricing and draft proposals
• Draft pricing proposal based on underwriting results
• Coordinate internal resources to draft RFP’s, focused primarily on getting "answers in boxes" (0-80% completion of RFP)
• Coordinate resources to introduce signed financial institution to transition team, includes scheduling kickoff call and potential advisor enrollment materials
• Draft and maintain prospect workbook and enterprise prospect profile documenting key facts and decisions of all prospective financial institution in the pipeline
• Attend weekly transition calls for committed financial institutions
• Request draft contracts, amendments and non-disclosure agreement within the legal portal
• Input contract accommodations in onboarding system once financial institution joins LPL
• Disburse onboarding form upon contract execute to establish institution ID
• Execute transition assistance disbursement process

AVP, Internal Business Development Officer

• Run point on codifying critical aspects of CSE’s programs/events including needs, goals, KPIs, responsibilities, deliverable tracking, budget, etc.
• Collaborate with business unit stakeholders to conceptualize and deploy approaches that address the needs of the Client Success organization
• Build strong relationships and collaborate with Client Success business line leaders
• Develop full scale execution plans for virtual and in-person programs and events
• Manage activity logistics including theme, sponsor management, creative development, communications, etc.
• Ensure delivery of high-quality experiences, conducting evaluations and gathering insights to inform future decisions

Client Engagement Manager

Communications

• Review and approve marketing materials and other public communications
• Review outside business activities and private securities transactions to ensure compliance with firm policy and state regulations
• Consult with advisors on their marketing initiatives, outside business activities and possible private securities transactions
• Research and address instances where the firm’s policies are not being followed
• Assist with research and response to regulatory inquiries including branch exams
• Contribute to department initiatives that may include policy updates and training
• Other tasks and projects as assigned

Senior Advisor, Communications & OBA Supervisory Principal

Security Engineer

• Develop a governance program strategy and revise associated execution plans, operating model and KPIs
• Uplift the cyber program strategy, charter, and associated metrics; define program accountability across the enterprise and advisor communities including our presence in India and recent acquisitions
• Confirm program framework to include industry, regulatory and audit testing requirements; align and assess policy and standard population to identify gaps and opportunities for improvement including global governance.
• Establish traceability based on the standard framework for policies, standards, controls, risks leveraging available tools and resources including automation
• Take accountability for remediation items tied to governance findings, such as documentation or control gaps
• Lead the control monitoring project including refine strategy, roadmap, use cases, and action plans to demonstrate time and risk reduction
• Collaborate across Technology Governance Risk and Controls organization, Business Information Security Officers, Enterprise Risk Management, Internal Audit, technology and cybersecurity subject matter experts
• Maintain regulatory requirements such as annual policy and standard reviews, and established enterprise standards and processes (e.g., enterprise policy templates)
• Provide consultation relative to shifting landscape and impact on governance (e.g., AI standards)
• Lead, mentor, and manage a team providing oversight and quality assurance

VP, Technology – Cybersecurity Governance

Growth Marketing

• Lead growth strategy and execution across affiliation models, with emphasis on supported models.
• Own and refine the enterprise realignment strategy and multi–year roadmap informed by advisor insights, performance data, competitive intelligence, and pilot outcomes.
• Plan and execute initiatives that expand awareness, deepen engagement, accelerate decision cycles, and increase adoption of supported models.
• Partner cross–functionally to scale the realignment engine, including marketing, education, pre–qualification, consultations, economic analyses, onboarding, and post–conversion support.
• Serve as strategic lead for advisor experience improvements, eliminating friction and elevating satisfaction, growth, and retention.
• Create compelling executive narratives and strategic reporting.
• Influence value levers—pricing, incentives, business support, competitive positioning—to increase realignment volume.
• Advise senior leaders and shape the long–term evolution of LPL’s affiliation strategy and ecosystem.

VP, Advisor Channel Growth

• Provide relationship management support between Advisors and LPL
• Drive client satisfaction and retention
• Recommend growth initiatives for Advisors
• Consult with Advisors through various engagement methods
• Conduct digital business health assessments/business planning

Senior Success Manager

Analyst

• Analyze and monitor key performance indicators (KPIs) such as product adoption, deflection efficacy, and experiential feedback.
• Leverage descriptive analytics and data visualization to extract actionable insights to improve product (eg AI Chatbot, GenAI Search, in-product contextual help) performance.
• Leverage AI tools and innovative analytics to identify opportunities to improve knowledge content which may be limiting performance and adoption of self-help resources.
• Provide training and change management support to internal stakeholders and advisors for new launches and product enhancements.
• Participate in (and lead aspects of) gathering and analysis of user feedback, usability testing and journey mapping / design to improve user experience.
• Partner with VP Journey Design to identify opportunities for workflow automation and in-product contextual help, and optimization of search functionality.