LPL Financial

Artificial Intelligence

• Establish and communicate an AI product strategy aligned with business priorities and growth objectives
• Conduct market research, evaluate industry trends, and identify opportunities for AI within financial services
• Translate business needs and user insights into clear product requirements and roadmaps
• Partner with cross-functional teams to support the full product lifecycle, from concept through launch and ongoing enhancements
• Promote responsible AI practices, including ethical considerations, governance, and transparency
• Define and track key metrics to assess product performance and impact
• Share product strategy, updates, and outcomes with leadership and stakeholders
• Stay informed on developments in AI, machine learning, and related technologies, and assess their relevance to the organization
• Support and guide teams in AI product practices, encouraging collaboration and knowledge sharing

VP – AI Product Strategy

Affiliate Manager

• Own the centralized intake process and prioritization framework for all W2 and Affiliate advisor product requests
• Define and manage a consolidated backlog spanning onboarding, office enablement, infrastructure, third‑party tools, and platform enhancements
• Develop and maintain a transparent product roadmap with defined priorities, dependencies, and sequencing aligned to business outcomes
• Serve as Product Owner during PI planning and execution, aligning scope, objectives, and delivery commitments with Technology and EPMO
• Track delivery progress, manage risks and dependencies, and make scope trade‑off decisions based on capacity and business value
• Define product requirements for advisor onboarding, office deployments, infrastructure upgrades, and hardware enablement
• Establish and evolve standardized solutions (e.g., Network‑in‑a‑Box, Office‑in‑a‑Box) to improve scalability and supportability
• Ensure integration of onboarding and enablement solutions with identity, access, email, and downstream systems
• Own lifecycle management of third‑party tools, including evaluation, implementation, adoption tracking, and decommissioning
• Ensure third‑party solutions align with advisor workflows, compliance requirements, and enterprise architecture strategy
• Define launch readiness criteria and coordinate go‑to‑market activities with Communications, Training, and Service teams
• Establish feedback loops and monitor adoption metrics to drive continuous product improvement
• Serve as the primary product partner to Business and Field leadership
• Drive cross‑functional execution across Product, Technology, EPMO, Operations, Compliance, and Service
• Provide consistent reporting on roadmap progress, delivery performance, and product outcomes

VP, Product Management – W2 & Affiliate Models

Vice President

• Build and maintain a unified supervision data strategy
• Define and govern critical data elements
• Partner with Tech and DAR on data product development
• Design and evolve frameworks for control health
• Ensure auditability and defensibility of supervision data flows

VP Data Strategist

Technical Product Manager

• Lead solution planning, refinement, and execution, including whiteboarding, persona definition, journey mapping, and level‑of‑effort estimation
• Translate business, product, and technical inputs into clear user stories, acceptance criteria, and delivery plans for engineering teams
• Facilitate cross‑functional discussions to evaluate solution options, trade‑offs, and implementation approaches
• Communicate status, risks, and dependencies to technical and non‑technical stakeholders to maintain alignment
• Evaluate development proposals and recommend process improvements to enhance scalability, performance, and delivery outcomes
• Support risk identification and mitigation related to product delivery and operational processes
• Maintain accurate and up‑to‑date documentation within project and solution management tools
• Collect and analyze feedback and performance data to inform iterative improvements

AVP, Technical Product Owner

• Manage and triage incoming client feedback, ensuring timely acknowledgment, accurate routing, and closed-loop communication.
• Serve as a quality control checkpoint for consistent, professional client communications.
• Monitor feedback trends, escalating urgent or systemic issues as needed.
• Partner with cross‑functional feedback SMEs to drive delivery of responses within defined Service Level Agreements (SLAs) by tracking timelines, sending reminders, and proactively mitigating risks.
• Drive proactive oversight of feedback, including monitoring stale or aging items, and re-engaging stakeholders to move issues forward.
• Facilitate targeted touchpoints, support sessions, and working meetings with SMEs to address complex, sensitive, or high-risk feedback.
• Maintain SME coverage by managing topic alignment, identifying gaps, and supporting onboarding.
• Contribute to feedback governance through tooling enhancements, workflow improvements, and reporting that surfaces client sentiment and response effectiveness.
• Champion a culture of client-centricity, accountability, and continuous improvement across the organization.

AVP, Client Feedback

Security Engineer

• Responsible for the thorough documentation of implementations, via technical documentation and run-books
• Responsible for input and feedback on security architectures
• Apply adept understanding and experience with systems automation platforms and technologies
• Partake in efforts that shape the organization’s security policies and standards for use in cloud environments
• Direct and influence multi-disciplinary teams in implementing and operating Cyber Security controls
• Collaborate with application developers and database administrators to deliver creative solutions to difficult technology challenges and business requirements
• Execute security architectures for cloud, hybrid/cloud systems
• Responsible for automating security controls, data, and processes to provide improved metrics and operational support
• Employ cloud-based APIs when suitable to write network/system level tools for safeguarding cloud environments
• Stay abreast of emerging security threats, vulnerabilities, and controls
• Spot and execute new security technologies and best practices into the company’s Cloud offerings.
• Evaluate security posture, create reports, and make recommendations as needed.
• Ensure compliance with organizational security rules and standards.
• Coordinate response to information security incidents.
• Member of on-call rotation.
• Performs other job related duties or special projects as assigned
• Create, update, and maintain security architecture standards and best practices
• Conduct authorized cloud security assessments on a schedule basis and report the gaps in a meaningful way with potential solutions.

Senior Cloud Security Engineer

• Partner with advisors to create and implement business growth
• Maintaining high advisor retention and satisfaction.
• Supporting the recruitment of advisors by selling them on the mission and vision of the Employee Channel.
• Helping transition the new teams to LPL.
• Building and maintaining strong advisor relationships while at the same time balancing this against the profitability of the model.

Vice President, Regional Branch Manager

Manager

• Set and execute the strategic direction for Product Operations to optimize efficiency, scalability, and client experience
• Lead, coach, and develop a team of 10+ employees, including performance management, career development, and engagement initiatives
• Oversee escalation management and ensure timely resolution of complex client, operational, or technology issues
• Manage a dedicated POD responsible for ClientWorks user onboarding and offboarding, ensuring accurate access provisioning and adherence to compliance requirements
• Drive continuous improvement through process optimization, standardization, and use of data-driven insights
• Partner cross-functionally with technology, compliance, and business teams to align priorities and deliver outcomes
• Establish and monitor controls to proactively identify, assess, and mitigate risks across product operations
• Promote an inclusive team culture that values diverse perspectives and encourages collaboration and innovation

Manager, Client Tech Services

Full-stack Engineer

• Develop and maintain full-stack applications using a variety of technologies, including front-end frameworks (e.g., React, Angular, Vue.js), back-end languages (e.g., Java, Python, C#), and database systems (e.g., SQL Server, Oracle, MongoDB).
• Collaborate with product owners, business analysts, and other developers to understand requirements, design technical solutions, and estimate effort.
• Write clean, efficient, well-documented, and testable code following best practices and architectural patterns.
• Participate in code reviews to ensure code quality, consistency, and adherence to standards.
• Design and implement RESTful APIs and microservices.
• Troubleshoot and debug production issues, providing timely resolutions and root cause analysis.
• Contribute to continuous improvement initiatives for development processes, tools, and methodologies.
• Mentor junior developers and share knowledge within the team.
• Stay up-to-date with emerging technologies and industry trends.

Senior Full Stack Software Engineer, AI & Cloud Platforms

Client Services Representative

• Provide comprehensive administrative and operational support within the financial advisor’s practice.
• Enhance client relationships, ensuring compliance with industry regulations, and supporting the firm’s growth initiatives.
• Serve as the primary point of contact for clients, addressing inquiries, resolving issues, and educating them on firm services and solutions.
• Assist with account-related requests, including transactions, maintenance, and online access, while ensuring compliance with regulatory standards.
• Manage client onboarding by collecting documentation, assessing risk profiles, and maintaining accurate records.
• Prepare reports and meeting materials, monitor account alerts, and support audits and regulatory reviews.
• Collaborate with financial advisors on business plans, marketing initiatives, and client engagement strategies.
• Perform administrative tasks such as scheduling, travel arrangements, and expense reporting.

Client Service Associate

Financial Planning and Analysis

• Perform recurring and Ad-Hoc system administration tasks to support business operations.
• Translate and visualize data into information and insights to discover trends and patterns for solving the business problem and improving key performance indicators.
• Provide a customer centric experience for business partners.
• Create detailed documentation, process flows, and diagrams.
• Train and support end users on project solution functionality and procedures
• Leveraging existing systems used by the business to create efficiencies and automation (Oracle, SAP, Workday, etc.)
• Promote a culture of continuous improvement within a progressively evolving environment.
• Drive project development through the project lifecycle
• Partner closely with our Product Management and Technology teams in support of various initiatives
• Build and maintain relationships within Finance, Technology, other business organizations, and with third party vendors.
• Ad hoc analysis, modeling, and additional responsibilities as required.

Finance Systems Analyst

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

• Lead LPL Research’s vertical tech stack development, from cross-functional relationship management to internal project management and individual contributions.
• Build and maintain master investment data sets to help the LPL Research department scale its investment reporting and analytics output with its industry-leading growth.
• Develop visualization tools that efficiently integrate multiple vendor data sources to unlock value within the LPL Research ecosystem through personalized curation.
• Develop a pre-trade analytics and order management solution, driving meaningful improvements in turnaround time and process scalability.
• Help LPL Research develop its long-term strategic positioning relative to peers by developing and sharing competitive intelligence insights across the firm.
• Independently support senior management with polished presentation materials on investment performance, risk management, and trends in asset flows across platform.
• Actively learn and support the portfolio management process by supporting members of Portfolio Management Committees with performance attributions, risk data, and insights.

AVP, Investment Analytics, Data

Marketing

• Serve as the strategic lead for prospect marketing
• Own prospect content strategy, campaign alignment, and industry positioning
• Drive digital-first engagement strategies
• Lead evidence-based performance marketing
• Partner closely with Business Development and Sales Enablement to enable sales effectiveness

VP Prospect Marketing

Sales

• Lead and manage the day-to-day activities of team consisting of Team Leaders, Financial Advisors, Client Service representatives, and Operations staff
• Create a culture of growth, ensuring that relationship deepening is being properly executed and that business objectives are being met
• Diagnose team performance and gaps to develop action plans to drive productivity
• Develop and implement a consistent sales process for all team members
• Drive client management and relationship deepening routines
• Manage all service-like aspects of the business to ensure things run smoothly and client needs are met
• Supervise the investment and relationship deepening process and ensure coordination and adherence to policies and procedures