LPL Financial

Auditor

• Test controls and prepare audit work papers with minimal assistance by the AVP/VP
• Lead and execute all areas of audits including audit planning, audit testing, control evaluation, and testing issue remediation
• Execute audits in accordance with department and professional standards, and complete assignments timely and in an efficient manner
• Mentor Staff level IT auditors on assigned projects
• Work closely with business units and audit colleagues to identify and assess risk and controls to support adequate audit coverage
• Work with audit colleagues and business units to test and report on the adequacy and effectiveness of management controls
• Make recommendations for improvement of the control environment through audits or project participation
• Complete assigned / ad-hoc projects timely, accurately and professionally
• Maintain and enhance skills through on-going education and training activities to support company needs

Senior IT Auditor

Project Manager

• Lead real estate project management activities across the advisor portfolio, including initiatives associated with Liquidity & Succession transactions as well as other advisor real estate projects.
• Manage a broad range of real estate project scope, which may include, but is not limited to, office transitions, refreshes, relocations, consolidations, new office setups, supplemental power and data needs, TV/AV additions, signage updates, furniture replacement or supplementation, and light interior refreshes (e.g., carpet, paint, or other finish updates).
• Coordinate architectural, furniture, and existing‑conditions surveys as needed to document current conditions and support scope development and cost estimating.
• Develop project schedules, monitor milestones and dependencies, and proactively manage risks to support alignment with business timelines and priorities.
• Inform and develop real estate scope inputs used to establish project and deal budgets.
• Track project costs against approved budgets, review vendor proposals and invoices for scope and budget alignment, and obtain required approvals for scope changes or spend exceeding approved budgets.
• Serve as the project management point of coordination for real estate workstreams, partnering with internal teams while recognizing that other functional owners may directly manage specific components of projects.
• Partner closely with Corporate Real Estate teammates and internal stakeholders to align scope, timing, responsibilities, and dependencies.
• Coordinate with landlords, external vendors, architects, furniture partners, and service providers to execute approved scope in accordance with LPL standards and processes.
• Maintain accurate project documentation, including scope, schedules, budgets, approvals, and closeout materials.
• Communicate proactively with stakeholders regarding project status, risks, budget considerations, and upcoming activities.
• Support additional advisor real estate initiatives and related responsibilities as needed in response to evolving business priorities, portfolio growth, or changes in organizational needs.

Senior Project Manager, Advisor – Real Estate

People Operations

• Own the People M&A strategy and operating approach
• Serve as the primary People partner to Corporate Development and business leaders
• Design, implement, and continuously refine the People M&A operating model
• Develop and maintain standardized playbooks, tools, and frameworks
• Define and act on People M&A performance metrics
• Serve as the People integration lead for significant acquisitions
• Partner with executive sponsors and functional leaders
• Act as a trusted People advisor to senior leaders

Vice President, People M&A Lead

Product Manager

• Own end-to-end delivery and outcomes for Operations workflow products, accountable for strategy, execution, adoption, and realized business value.
• Define product priorities, success metrics, and investment tradeoffs aligned to enterprise and Operations objectives.
• Ensure consistent delivery of measurable improvements in advisor experience, cycle time, risk reduction, and operational efficiency.
• Establish clear accountability models, delivery standards, and governance mechanisms across teams.
• Set domain strategy for workflow transformation with an automation-first mindset and selective, responsible use of AI.
• Guide teams in balancing deterministic automation, orchestration, and AI-assisted decisioning based on value, risk, and explainability.
• Partner with Engineering, Architecture, Data, and Risk & Compliance to ensure solutions are compliant, scalable, resilient, and governable.
• Ensure workflows are data-driven and AI-ready where appropriate, without introducing unnecessary complexity or risk.
• Oversee a portfolio of workflow products, ensuring alignment between roadmaps, delivery capacity, and Operations priorities.
• Review and challenge product strategies, roadmaps, and backlogs to maintain focus on outcomes over outputs.
• Act as an escalation point for delivery risks, dependencies, and cross-team tradeoffs.
• Build, lead, and develop a high-performing team of Product Owners and Product Managers.
• Set clear expectations for ownership, execution quality, and product thinking; coach leaders on delivery discipline and stakeholder management.
• Provide ongoing feedback, performance management, and career development.
• Foster a culture of accountability, continuous improvement, and learning — especially around automation and responsible AI.
• Serve as a senior execution partner to Operations, Technology, Data, and Risk executives.
• Lead governance forums with transparent reporting on delivery progress, benefits realization, risks, and tradeoffs.
• Influence enterprise priorities and funding decisions through data-driven business cases and outcome reporting.
• Play a visible leadership role in LPL’s digital and AI transformation across Operations.
• Establish and scale best practices for workflow product ownership, portfolio management, and responsible AI adoption.
• Act as a thought leader and role model for modern product management at LPL.

VP, Product Management – Workflows Transformation

• Define and evolve the IAM product vision, strategy, and multi-year roadmap in alignment with business priorities, user needs, risk considerations, and technology strategy
• Own strategic product direction for the IAM domain, including prioritization of major initiatives, platform evolution, modernization efforts, and long-term investment choices
• Partner closely with engineering, architecture, cybersecurity, operations, and business stakeholders to translate strategy into executable plans, delivery milestones, and measurable outcomes
• Lead prioritization across features, enhancements, platform capabilities, and modernization initiatives based on user feedback, business value, operational impact, risk reduction, and enterprise objectives
• Provide leadership oversight for product delivery and releases by ensuring strong planning, readiness, dependency management, stakeholder communication, and post-release inspection processes that support successful execution and adoption
• Monitor product performance, adoption, control outcomes, and delivery results, using data and stakeholder feedback to assess impact, inform roadmap tradeoffs, and improve product outcomes over time
• Drive alignment across the firm on IAM product vision, priorities, dependencies, success metrics, and sequencing, resolving ambiguity and competing priorities across stakeholder groups
• Lead development of business cases, investment proposals, and strategic product communications for senior executives and key governance stakeholders
• Build and scale the IAM product management capability, including defining organizational responsibilities, product operating practices, governance, and ways of working that improve execution, transparency, and stakeholder alignment
• Lead, coach, and develop product talent across the IAM domain, strengthening product management discipline and building a high-performing team and leadership bench over time
• Stay current on IAM market trends, emerging technologies, regulatory considerations, and industry best practices to ensure product strategy remains forward-looking and aligned to external change
• Partner with technology and control stakeholders to ensure IAM capabilities meet appropriate standards for performance, resiliency, accessibility, interoperability, and control effectiveness
• Represent the IAM product area with senior leaders across the firm, influencing decisions on priorities, sequencing, funding, risk tradeoffs, and enterprise platform direction

VPII Product Management, Identity Access Management (IAM)

Data Scientist

• Design and execute end-to-end analyses that surface meaningful business insights, from data extraction and cleaning through modeling and interpretation.
• Apply statistical methods—including hypothesis testing, regression, and causal inference—to answer business questions with rigor and clarity.
• Translate complex analytical outputs into clear narratives and visualizations for business stakeholders and senior leadership.
• Build, validate, and deploy supervised and unsupervised machine learning models to support segmentation, prediction, and optimization use cases.
• Evaluate model performance using appropriate metrics and communicate trade-offs and assumptions to both technical and non-technical audiences.
• Stay current on advances in applied ML and bring emerging methods to bear on relevant business problems.
• Design and analyze A/B tests and observational studies to identify causal relationships and measure the impact of business initiatives.
• Document analytical workflows, assumptions, code and findings to ensure reproducibility and knowledge sharing across the team.

Senior Analyst, Data Science

Vice President

• Own and drive strategy, design and prioritization of the Payments portfolio, including program structure, governance forums
• Lead initiatives to identify, evaluate and manage critical vendors and partners that support the payment capabilities.
• Build strong, trust-based relationships with senior stakeholders and influence execution across initiatives without direct authority
• Coordinate across multiple workstreams and functional partners to ensure alignment on scope, sequencing, interdependencies and delivery commitments
• Establish and maintain a consistent operating rhythm across initiatives, including planning cycles, progress tracking, risk management and executive reporting
• Proactively identify, surface and manage risks, issues and tradeoffs, escalating with clear options and recommendations
• Partner with initiative owners to ensure delivery plans are realistic, milestones are well-defined and execution remains tightly connected to intended outcomes
• Develop and deliver executive-ready materials that clearly communicate progress, risks, decisions needed
• Continuously evolve delivery practices, governance and tools to improve speed, transparency and accountability across the domain

VP, Banking Solutions – Payments

Security Engineer

• Support the development and implementation of governance policies and security standards for AI usage.
• Collaborate on the integration of tools and security controls across various AI enabled platforms and services.
• Contribute to the discovery and documentation of AI use cases throughout the organization.
• Help design and apply the right security, privacy, and compliance frameworks for AI systems.
• Work cross functionally with data, engineering, and compliance teams to ensure responsible and secure AI adoption.

Senior AI Security Engineer

Consultant

• Review trusts (revocable and irrevocable), wills, and ancillary documents and break out the information into our deliverable.
• Flowchart the existing documents to show what happens at the death of each beneficiary.
• Work with estate planning attorneys to include potential strategies for asset protection, income tax, or estate tax concerns and incorporate their observations.
• Create a new master flowchart depicting what the overall proposed strategies would look like.
• Update the status of current cases and ensure all cases are being managed efficiently.
• Communicate with affiliated advisors and attorneys to ensure their questions are answered and the cases are moving along.

Estate Planning Consultant

• Responsible for providing operational and day-to-day support of the Supervision VP
• Lead strategic projects and act as liaison between assigned regions and various stakeholders
• Support Vice President and regional supervisory teams with escalations
• Engage and coordinate with Business Consultants and internal departments
• Monitor workload and staffing for designated regions to ensure compliance with service level agreements
• Analyze risk for LPL Financial and develop policies and controls to mitigate said risk

Regional AVP, Supervision

Analyst

• Support the Office of the Corporate Secretary and assist the CLO/Corporate Secretary with board related matters and responsibilities
• Conduct research and benchmarking analyses on behalf of the CLO, delivering insights to support the business and the department to become an industry leading function
• Develop dashboards and analytics for the CLO in partnership with the Legal Operations Team
• Prepare, review, and consult on executive-level reports and presentations for the CEO, Board of Directors, and Management Committee
• Drive cross-functional change initiatives throughout LPL on behalf of the CLO and Chief of Staff
• Enhance operational rigor of the Office of the CLO through implementation of efficiency initiatives and progress-tracking of key priorities
• Support CLO prep for quarterly Board of Directors meetings
• Lead ad-hoc projects aligned with CLO priorities
• Provide consultative guidance on organizational design, planning, and workforce optimization initiatives
• Partner with FP&A on budget and other finance-related matters

Senior Analyst, Business Management

Program Manager

• Develop and execute scalable programs that enable Client Success Managers to activate growth and retention priorities within institutional client relationships.
• Drive end-to-end program management, including planning, execution, communication, and performance tracking.
• Build strong, trusted relationships with cross-functional stakeholders to align priorities, remove obstacles, and ensure program success.

AVP, Institution Program Management

Artificial Intelligence

• Own IAM production reliability and uptime outcomes across LPL IAM platforms; establish and manage measurable availability, recovery, and stability objectives.
• Personally lead major IAM production incidents and outages, serving as incident commander for high-severity events and ensuring rapid restoration and clear executive communication.
• Translate lived production experience into architectural and operational improvements that strengthen system resilience.
• Design, build, deploy, and govern agentic AI capabilities that monitor signals, investigate events, and recommend mitigations while maintaining strong human accountability.
• Institutionalize learning from failure through rigorous post-incident reviews that feed engineering backlogs and AI model improvements.
• Lead IAM modernization initiatives across identity lifecycle management, authentication, privileged access, and governance automation.

VPII – Identity & Access Management, Production Reliability, Agentic AI

Financial Planning and Analysis

• Manage daily operations for Alternative Investment products
• Provide ongoing support, coaching, feedback, and developmental opportunities to address staff needs
• Conduct regular meetings with on-site and cross-site teams
• Driving a performance management culture
• Conduct vendor, regulatory, and risk oversight for all processes
• Review and approval management reports and checklist
• Support and contribute toward the successful execution of projects and initiatives
• Leverage technology to automate manual work and simplify processes
• Develop risk-based mitigation approaches
• Understand and Interpret rule modifications in an ever-changing regulatory environment
• Deliver the best personal and relevant client experience possible through operational and service excellence delivery

Manager, Alternative Investment Operations

Director

• drive sales by identifying and aiding in the recruitment of premium segment financial advisors and teams
• develop sales and recruiting strategies
• research, source, and engage with prospects
• individually own certain advisor segments of the pipeline
• meet with prospective advisors to demonstrate LPL’s value proposition
• navigate long sales cycles with multiple buying influences
• evaluate potential advisors for appropriateness
• train internal staff on recruiting nuances
• improve and evaluate recruitment practices and opportunities
• articulate LPL’s business model and benefits of joining
• partner with BD leadership team for continual offering evolution
• identify external organizations and events for new sourcing channels
• serve as a subject matter expert for the business development team
• design and test new approaches to attract diverse candidates
• leverage data to track performance indicators