LPL Financial

Vice President

• Lead the development, implementation, and execution of key end client strategy initiatives
• Define and evolve LPL’s enterprise-wide end client experience vision across the full wealth lifecycle
• Establish clear standards and expectations for what 'competitive' end client experiences should be
• Take a data-driven approach to identify and prioritize opportunities to improve end client experiences
• Evaluate potential opportunities, including building clear business cases and prioritizing highest-value initiatives
• Develop strategic perspectives on key topics including end client growth, segmentation, and experience priorities
• Lead development of differentiated experience strategies tied to measurable commercial outcomes (e.g., retention, growth, satisfaction)
• Leverage qualitative (market trends, competitive intel, client research) and quantitative (financial data, behavioral data) insights to inform strategy
• Conduct research with advisors and end clients (surveys, interviews, user testing) to inform strategy and validate ideas
• Act as a central strategic partner and influencer across product, technology, operations, and advisor organizations
• Influence senior leadership and governance forums to align priorities, investments, and execution
• Develop and operationalize enterprise frameworks (e.g., experience frameworks, journey maps, business requirements)
• Develop executive-ready presentations for senior leadership, including management committee and Board audiences
• Drive a cultural shift toward end client-centricity across the firm

VP, End Client Strategy and Experience

• Organize and execute assigned business projects on behalf of clients (recruiting, business structure, products, payroll, promotional campaigns, etc.) according to client’s requirements and recommendations
• Meet with assigned clients, per our service model, when needed and perform an initial assessment of a problematic situation
• Collect information about the client’s business through a variety of methods (shadowing, interviews, surveys, etc.)
• Analyze and interpret data to identify areas of improvement
• Formulate recommendations and solutions and present to clients
• Partner with the clients to implementing plans and resolve any issues
• Work directly with Financial Advisors and their teams in a consulting and coaching capacity
• Centralized point of contact for advisor questions, issues, and/or advice
• Help advisors navigate products and services available
• Keep advisors informed of any LPL, America Group, and regulatory changes
• Collaborate with internal teams and external partners
• Work with advisors and their teams to analyze current business practices, recommend business models, tools, products and/or services
• Create and implement the firm’s productivity initiatives
• Facilitate completion and implementation of advisor business plans
• Implement Client Segmentation, value proposition/mission statement, and client service model
• Provide succession planning advice and guidance
• Discuss team structures and define roles
• Deliver business valuations
• Share advisor best practices
• Organize and facilitate periodic advisor study groups, focus groups and regional meetings
• Incorporate sponsors and industry experts
• Increase advisor capabilities and promote best practices

VP, Business Consultant

Artificial Intelligence

• Discover AI/agent identity requirements across users, services, runtimes, tools, and APIs.
• Assess existing SSO, MFA, federation, and API authorization models; identify gaps in delegation, token lifecycle, scopes, secrets, and auditability.
• Design enterprise IAM patterns (user context propagation, delegation chains, BFF sessions, least-privilege access) and OAuth/OIDC client models.
• Define standards for securing agent tools, data access, and cross-domain integrations; align to zero trust and regulatory controls.
• Produce architecture artifacts (CAD/HLD/PSS) and reference implementations.
• Lead and build IAM POCs (end-to-end flows, token exchange, gateway enforcement, delegated agent access).
• Configure/test identity flows; troubleshoot tokens, scopes, and integrations.
• Implement or guide IAM integrations across gateways, BFFs, agent orchestration, and observability.
• Transition validated patterns to IAM engineering for production rollout.
• Define agent identity lifecycle (registration, credential rotation, revocation, environment separation).
• Integrate IAM across AI platform components; support CI/CD and IaC for IAM configurations.
• Establish patterns for human-in-the-loop controls, break-glass access, and rate limiting.
• Maintain documentation, decision records, diagrams, and runbooks.
• Deliver POC summaries, evaluations, and implementation guidance; communicate risks and dependencies.
• Ensure regulatory compliance; partner on threat modeling and controls (secrets, PAM, audit evidence).

AI IAM Architect

• Partner with the Business Development recruiters to understand the prospect’s needs and plan and execute the transition and assimilation
• Provide hands on support to the advisors in order to help them transition their clients and accounts quickly and seamlessly
• Manage the relationship and experience of new financial advisors and firms during their transition and assimilation into LPL
• Execute multiple client engagements simultaneously
• Identify opportunities and create solutions to expedite and improve the transition and assimilation process
• Understand, utilize, and stay current with our technology, industry best practices, financial markets, the regulatory environment, and the competitive landscape

AVP, Regional Transitions Partner

• 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

Product Manager

• Own a roadmap that improves speed, quality, and predictability across discovery, build, test, release, and learning.
• Introduce AI where it removes drafting and synthesis work, then require human review and edits before outputs become decisions or artifacts.
• Standardize a small set of lightweight artifacts and quality checks that reduce late-cycle churn.
• Partner with architecture, security, and compliance teams to reduce time spent in review queues.
• Partner with DevOps and platform teams to reduce friction in the build and release process.
• Improve how teams prepare releases so work is not left to the end.
• Improve code and system understanding by keeping service documentation current and tied to repositories and runtime behavior.
• Partner with Technology and Business Reporting and Analytics to establish baselines and targets for lead time, cycle time, review turnaround, defect escape, change failure rate, production incident rate, mean time to restore, rework, and onboarding time.
• Run fast-cycle pilots that show results within weeks.
• Define requirements for tooling based on workflow needs, auditability, access controls, and integration with existing platforms.
• Establish a regular cadence with product, engineering, DevOps, security, compliance, and risk leaders to surface what is slowing delivery, make decisions, and track adoption.

VP, Product & Technology, AI Solutions

• Organize and execute assigned business projects on behalf of clients (recruiting, business structure, products, payroll, promotional campaigns, etc.) according to client’s requirements and recommendations
• Meet with assigned clients, per our service model, when needed and perform an initial assessment of a problematic situation
• Collect information about the client’s business through a variety of methods (shadowing, interviews, surveys, etc.)
• Analyze and interpret data to identify areas of improvement
• Formulate recommendations and solutions and present to clients
• Partner with the clients to implementing plans and resolve any issues
• Help advisors navigate products and services available
• Collaborate with internal teams and external partners
• Facilitate completion and implementation of advisor business plans

General Counsel

• provide day-to-day legal support for LPL’s financial services business
• review, revise, and develop internal policies and procedures
• conduct legal research and draft memos related to compliance
• collaborate with members of the Legal Department and business units
• manage a team of experienced attorneys

SVP, Associate General Counsel – Broker-Dealer Regulatory Compliance

Analyst

• Perform and support financial analysis, synergies forecast, and valuation and due diligence of potential acquisitions
• Collaborate with functional due diligence teams, including legal, finance & accounting, tax, human resources, operations, IT, sales, and strategy
• Develop, in partnership with Business Unit leaders, financial projections for acquisition targets and integration plans
• Prepare presentations and report to senior management on potential M&A transactions, capital structure, and strategic growth initiatives
• Develop deep knowledge of the wealth management industry
• Perform research, reporting and analysis on M&A activity and strategic partnerships in the industry
• Monitor past acquisition metrics
• Ad-hoc analysis, research, financial modeling, and additional responsibilities as required

Senior Analyst, Corporate Development

Financial Planning and Analysis

• Serve as connection point across CFO’s leadership team and key external partnerships
• Coordinate and drive execution of cross-functional strategic initiatives
• Lead ad-hoc projects related to CFO priorities
• Prepare and consult on executive-level reports and presentations for the CFO, Board of Directors, and Management Committee
• Partner with Finance leadership to deliver, monitor and communicate progress against goals/OKRs
• Drive employee interaction and engagement efforts, including employee communications and finance-wide talent management actions

Senior Analyst, Finance Strategic Support

• Support and collaborate with more experienced colleagues to deliver large-scale solutions across a variety of projects & initiatives
• Jointly participate in projects & tasks while advancing skills in discovery, design, and implementation of process improvements and automated workflows
• Optimize processes by conducting stakeholder interviews to compile needs assessment, identify requirements, and support solution design
• Conduct data validation and process testing exercises, identifying defects and proposing solutions or workarounds
• Work cross-functionally to deliver & implement more efficient workflows by combining backend data sources in Alteryx
• Research and resolve unknowns independently by leveraging resources and navigating the organization to obtain information and achieve objectives
• Drive continuous improvement by proposing ways to leverage data aggregation tools, automated workflows, or AI to streamline our team’s ability to operate & execute on our initiatives

Performance & Automation Analyst

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 their differences, and guide users through LPL Financial processes
• Provide exceptional customer service, you'll accurately process requests, support internal partners, and clearly communicate solutions
• Proactively seek help, escalate issues when necessary, and efficiently resolve problems during calls

Associate Service Consultant

• 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

• 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, End Client Strategy and Experience

VP, Business Consultant

AI IAM Architect

AVP, Regional Transitions Partner

Vice President, Regional Branch Manager

VP, Product & Technology, AI Solutions

VP, Business Consultant

SVP, Associate General Counsel – Broker-Dealer Regulatory Compliance

Senior Analyst, Corporate Development

Senior Analyst, Finance Strategic Support

Performance & Automation Analyst

Associate Service Consultant

VP – AI Product Strategy

VP, Product Management – W2 & Affiliate Models

VP Data Strategist