LPL Financial

Financial Planning and Analysis

• Support advisors in all aspects of financial plan design and analysis
• Cultivate advisor relationships to drive client satisfaction, continued utilization, and retention of planning services
• Follow Paraplanning team standards
• Communicate and align expectations with advisors based on their preferences and needs
• Collaborate with teammates during the plan development process
• Professionally present completed financial plans
• Maintain knowledge of personal financial planning concepts, current developments, and industry trends
• Identify advisor needs and refer opportunities to business partners including Client Experience, High Net Worth Services, and Tax Planning
• Maintain knowledge of Wealth Planning offerings
• Engage advisors through onboarding, integration, and the ongoing advisor relationship with Paraplanning Services
• Build positive working relationships across the team and Comprehensive Advice business units

Senior Financial Planner

Client Services Representative

• Serve as the first point of contact for clients via phone, email, and in person
• Schedule and confirm client meetings, prepare documentation, and assist with follow-up tasks
• Manage inquiries about account maintenance, statements, and online access
• Process beneficiary updates, address changes, RMDs, and account transfers accurately and promptly
• Maintain client information in CRM and other management systems
• Coordinate and prepare advisor meeting materials in compliance with regulatory requirements
• Assist with new business, account openings, and account maintenance documentation
• Monitor and complete branch operational activities, including audits, compliance requests, and internal reporting
• Support marketing, client appreciation events, and client communication initiatives
• Draft correspondence, presentations, and internal and external communications
• Provide administrative and operational support to advisors and clients in the Employee Model

Client Service Associate

Business Analyst

• Manage and trade LPL's centrally-managed platforms day to day
• Ensure accounts are managed in line with selected investment strategies
• Participate in OPMG trading and platform-maintenance processes
• Review, approve, and upload model security portfolios from investment managers and strategists
• Review and approve large trades
• Research complex situations and define resolution actions
• Serve as a subject matter expert on operational policies and procedures for a centrally managed platform
• Improve processes to increase efficiency and reduce risk
• Support leadership on multiple overlapping projects
• Test and implement projects
• Analyze internal data sets and build stakeholder reports
• Act as a primary contact between OPMG and external and internal business partners
• Develop regular and ad-hoc reports on centrally managed platform drivers

Trading Analyst, Overlay Portfolio Management

Vice President

• Lead the enterprise Microsoft Azure strategy, roadmap, and cloud-adoption program.
• Manage, coach, and develop a team of Senior Cloud Engineers.
• Partner with application and business teams to assess workloads and create cloud migration and modernization plans.
• Establish Azure landing zones, subscriptions, management groups, policies, access controls, tagging, and governance standards.
• Drive an automation-first approach using infrastructure as code, reusable deployment patterns, and CI/CD pipelines.
• Lead the development of self-service cloud capabilities that allow teams to deploy approved Azure services efficiently.
• Oversee Azure compute, storage, networking, containers, platform services, monitoring, backup, and disaster recovery capabilities.
• Promote cloud-native architectures, managed services, containers, serverless technologies, and modern application patterns.
• Lead the adoption of Azure AI, Azure OpenAI, Microsoft Copilot, AIOps, and intelligent automation to improve engineering productivity and operational support.
• Partner with Cybersecurity and Risk teams to ensure Azure solutions meet security, regulatory, audit, and compliance requirements.
• Establish FinOps practices for cloud forecasting, cost allocation, consumption reporting, rightsizing, and optimization.
• Use Jira to manage engineering backlogs, roadmaps, epics, priorities, dependencies, and delivery commitments.
• Use ServiceNow to support cloud requests, incidents, problems, changes, configuration management, and service delivery workflows.
• Define and report cloud-adoption metrics, delivery progress, platform health, cost trends, risks, and business outcomes.
• Evaluate new Azure services and technology products that improve cloud adoption, reliability, automation, and client experience.
• Serve as the senior escalation point for Azure platform, cloud engineering, and adoption-related issues.
• Maintain strategic relationships with Microsoft and other cloud technology partners.

VP Cloud Compute

• Leveraging industry network and insights to assess LPL’s competitive position and create various strategies that evolve the programs in alignment with the firm’s objectives
• Distilling the strategies into discrete business opportunities, gaining alignment within the firm, and ultimately securing funding and capacity to proceed
• Shepherding initiatives to completion across multiple business, product, technology, operations, and field stakeholders
• Specific focus on supporting the build out of emergent capabilities within the UMA and tax capabilities across the LPL ecosystem.

SVP, Centrally Managed Advisory Programs – UMA

• 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

Software Engineer

• Lead the Containers team in CCOE: own the strategy, architecture, implementation, and operations of LPL's container platform — primarily Amazon EKS — across the multi-account landing zone
• Set the multi-year container strategy: cluster topology, multi-tenancy, upgrade cadence, supported add-ons, ingress, service mesh (where applicable), GitOps (ArgoCD/Flux), and CI/CD integration
• Partner closely with the FinOps pod (within Foundations) to drive container cost efficiency: Karpenter, Spot, right-sizing, namespace chargeback, Kubecost or equivalent, cost-anomaly detection, and platform-level FinOps guardrails
• Drive platform stability, reliability, and SRE practices: SLOs, golden signals, error budgets, capacity planning, controlled upgrades, and blast-radius reduction
• Deliver a self-service container experience for application teams: opinionated Terraform/Helm modules, golden paths, scaffolding, namespace vending, RBAC automation, and Internal Developer Platform (Backstage-class) integration
• Co-own multi-account landing zone integration for containers in partnership with the Network Engineering, Security & Governance, FinOps, and Functional Design Engineering & Strategy pods within Foundations (IRSA, Pod Identity, network policy, Network Firewall integration, image signing, runtime defense)
• Lead the evaluation, design, and (if approved) operationalization of additional workload runtimes: ECS as a workload-migration target for cost and operational simplicity, and potential support for OpenShift on-premises as a hybrid runtime
• Embed agentic AI capabilities into the team's engineering practice (e.g., Cursor, Claude Code, Bedrock, MCP servers, agentic IaC and review workflows) and into the platform's self-service experience for internal customers
• Embed agentic AI capabilities into the container platform and developer workflow: AI-assisted manifest generation, automated upgrade impact analysis, copilots for cluster operators, and MCP-backed agents for self-service
• Recruit, develop, mentor, and retain a globally distributed team of senior cloud engineers across LPL's US offices and India Global Capability Center (GCC)
• Own all people-management responsibilities for the pod including hiring, onboarding, weekly 1:1s, performance management, compensation planning, career development, and certification-path execution per the CCOE certification matrix
• Operate as a player-coach: spend meaningful time hands-on in Terraform code, design reviews, peer reviews, and incident response while leading people and delivery
• Lead and personally participate in 24x7 on-call rotations as senior incident commander and technical escalation point for the pod
• Partner with peer VPs across the Cloud Center of Excellence — the leaders of the five CCOE teams (Foundations, Platforms, Containers, Support, Delivery) and the leaders of the pods within Foundations (Security & Governance, FinOps, Functional Design Engineering & Strategy, Network Engineering, Monitoring) — to align roadmaps and remove cross-team and cross-pod blockers
• Champion AWS Well-Architected Framework adoption across all six pillars and drive continuous improvement against operational, security, reliability, performance, cost, and sustainability outcomes
• Contribute to and curate the private Terraform module library that powers self-service infrastructure for application teams, including module standards, versioning, deprecation, and contribution patterns
• Participate in Agile/Scrum ceremonies (sprint planning, standups, backlog grooming, retrospectives) and partner with the RTE and PMO on delivery commitments and dependencies
• Represent the pod in executive forums, architecture review boards, internal audit, and customer engagements; communicate technical risk and trade-offs to non-technical executives

VP, Container Engineering

Engineering Manager

• Lead and manage a team of security engineers
• Oversee the implementation, configuration, and optimization of security tools
• Develop and implement operational playbooks and procedures
• Drive continuous improvement initiatives for security operations processes
• Collaborate with engineering and architecture teams
• Manage vendor relationships and evaluate security technologies
• Provide technical leadership and mentorship to junior engineers
• Participate in incident response activities
• Ensure compliance with regulatory requirements

AVP, Engineering Security Operations Manager

• Assume ownership of inquiries and requests; communicate with internal departments to ensure clients’ expectations for timely service delivery are met.
• Educate clients on account services, capabilities, and new technology – eSignature, paperless statements, Account View (client portal), etc.
• Partners with Financial Advisor to strategize on opportunities to meet the needs of clients.
• Inbound client calls, schedule appointments, and prepare materials for client meetings.
• Manage account activities that are operational in nature –new accounts, cash management, transfers, and account maintenance (e.g., periodic distributions, debits).
• Keep client management systems up to date with client information.
• Assist with various documentation requirements for new business.
• Conduct proactive outreach to clients and advisors on time sensitive activities (e.g., RMDs).
• May assist in executing trades for clients as needed to support the Financial Advisor

• Handle inbound calls and emails from LPL financial advisors and staff, providing clear guidance and resources on financial planning concepts and strategies.
• Research complex planning questions using reference materials and team support and follow up with advisors to share findings.
• Connect advisors with the right partners (LPL or external) to ensure they get the support they need.
• Refer advisors to relevant LPL planning support such as Practice Management Coaching, Case Consulting, and Paraplanning.

Senior Financial Planning Consultant

• Define and execute the national strategy for branch administrative management across Linsco and L&S
• Lead, mentor, and develop AVPs and senior managers
• Own the design, governance, and evolution of the branch admin program
• Serve as senior liaison between advisors and the enterprise
• Collaborate with cross-functional partners in Finance, Human Capital, Technology, Service & Operations, and Advisor Growth Solutions

VP, Divisional Administrative Manager

Consultant

• Handle inbound and outbound calls from Financial Advisors, their assistants, and LPL internal Service Associates
• Maintain up-to-date knowledge of Overlay Service products (GWP, MWP, OMP, PWP, and SMA)
• Explain differences and guide users through LPL Financial processes
• Provide exceptional customer service by accurately processing requests
• Support internal partners and clearly communicate solutions
• Proactively seek help, escalate issues when necessary
• Efficiently resolve problems during calls

Associate Service Consultant

• Serve as a senior analytical contributor and emerging leader within the Digital Enablement Supervision team
• Manage a complex and strategically significant portfolio of supervisory AI models across their full lifecycle
• Operate as a subject-matter authority on model performance, change management, and governance execution
• Support the VP in translating the firm’s AI strategy into well-governed, high-performing model operations
• Lead and mentor Model Managers, providing day-to-day guidance, quality assurance, and developmental coaching
• Independently identify issues, design solutions, and drive execution without requiring close direction from the VP

AVP, Digital Enablement

Manager

• Own and manage a portfolio of complex, high-scale, or strategically significant supervisory AI models.
• Conduct ongoing performance monitoring and trend analysis across assigned models.
• Manage model changes through the firm’s change management and governance protocols.
• Lead validation and quality control exercises for assigned models.
• Proactively identify and prioritize enhancement opportunities across the assigned model portfolios.
• Design and lead model enhancement initiatives.

Model Manager

• Directly lead and guide your team, setting performance and career objectives
• Provide coaching and foster motivation to achieve optimal results
• Coach individual team members, addressing pain points and client escalations to enhance customer management skills
• Leverage data insights to iterate and innovate existing processes
• Develop and implement strategies to increase customer satisfaction, first call resolution, and live chat concurrency
• Support Service Professionals and clients during escalations
• Use performance reports to coach and develop your team
• Identify trends and areas for improvement
• Identify, interview, and hire exceptional team members
• Handle timecard approvals, review time-off requests, and monitor attendance
• Establish productive relationships with key business partners, including live chat product and tech owners

Senior Financial Planner

Client Service Associate

Trading Analyst, Overlay Portfolio Management

VP Cloud Compute

SVP, Centrally Managed Advisory Programs – UMA

AVP, Client Feedback

VP, Container Engineering

AVP, Engineering Security Operations Manager

Client Service Associate

Senior Financial Planning Consultant

VP, Divisional Administrative Manager

Associate Service Consultant

AVP, Digital Enablement

Model Manager

Digital Manager, Service Center