LPL Financial

Operations

• Serve as a key operational support partner for IAS Advisor Success Management and Home Office teams.
• Assist in coordinating and resolving complex service issues, escalations, and exceptions
• Assist with managing exceptions, accommodations, and workflow troubleshooting to help minimize disruption for advisors and clients.
• Track issues through resolution and ensure timely communication with stakeholders.
• Support the development and maintenance of training materials, job aids, and reference documentation.
• Provide feedback and suggestions to improve training effectiveness based on advisor and staff experiences.
• Help reinforce best practices and consistent workflows across teams.
• Partner with Client Success POD CEMs and Operations teams to identify recurring issues and opportunities for improvement.
• Analyze operational data and reports to identify trends, risks, and efficiency opportunities.
• Contribute insights and recommendations that support process improvements, documentation, and communication enhancements.
• Work closely with Operations, Service, Technology, and other internal teams to support seamless service delivery.
• Assist with communicating operational updates, including fee changes, policy updates, FINRA guidance, and system enhancements.
• Provide data and operational insights to support decision-making within the IAS Advisor Success Management team.

Senior Success Operations Analyst

Vice President

• Drive greater adoption of LPL Advisory platforms
• Partner directly with various LPL Client Success Managers (CSM)
• Consult with advisors to segment their client base and identify opportunities for growth
• Increase adoption and implementation of supporting tools and resources
• Spend 25% of your time in the field interacting with clients
• Conduct 16-20 meetings per week
• Present at regional and national conferences
• Partner with other LPL business units and sponsor firms for educational resources

AVP, Practice Management Consultant

• First line supervisory responsibility for HOS advisors and/or OSJ managers
• Proactively engage with supervisory team on a daily basis to form a collaborative environment
• Ensure advisor and OSJ understanding and compliance with all firm and industry requirements
• Act as main point of contact for supervision related questions
• Conduct investigations and appropriate corrective action in collaboration with supervision management
• Identify suspicious patterns in sales and business practice

AVP, Regional Supervisory Principal

Data Engineer

• Lead and manage the Party Referenced Data team, providing strategic direction, technical leadership, and mentorship while architecting and implementing cloud-native platforms using AWS services such as Glue, Lambda, EventBridge, S3, RDS, and MSK.
• Drive modernization by migrating legacy systems to scalable cloud solutions, integrating third-party data providers like S&P Global’s Markit and Dun & Bradstreet for accurate KYC/AML data ingestion and enrichment.
• Design and maintain robust data models for clients, counterparties, issuers, and legal entities, establishing governance frameworks for validation, deduplication, survivorship, and lineage tracking.
• Develop APIs and data services for CRM, trading, compliance, and reporting platforms, ensuring observability, resilience, and compliance with privacy and cybersecurity standards.
• Collaborate with business stakeholders to translate technical concepts into actionable solutions, champion continuous improvement through emerging technologies, and lead Agile delivery processes using Jira.

Vice President, Data Engineering – Master Data Management, Reference Data

Analyst

• Develop deep subject‑matter expertise in the Security Master function.
• Manage and execute monthly quality‑control processes.
• Oversee data flow and ensure the accuracy, consistency, and timely processing of data into downstream systems.
• Partner with internal and external business units to research and resolve investment‑data issues.
• Troubleshoot reconciliation discrepancies reported by advisors.
• Compile metrics and create reporting to support trend analysis and RPMs.
• Assist with projects supporting both client‑facing and internal system enhancements.
• Maintain and update department procedures to ensure alignment with current processes.
• Collaborate with team members to manage multiple, overlapping customer requests.
• Provide customer support through escalation management and clear, comprehensive explanations.
• Review, validate , and research industry announcements, resolving any identified discrepancies.
• Work cross‑functionally to identify and correct recurring operational or data‑quality issues.

Associate Data Recon Analyst

Client Services Representative

• Communicate daily with advisors and clients, taking ownership of inquiries and ensuring timely resolutions
• Handle client questions on account activity, policies, and documentation
• Submit and process account activities such as new accounts, transfers, maintenance, and trade orders
• Proactively reach out on time-sensitive items like RMDs, distributions, and tax forms
• Research and resolve complex issues while coordinating with internal departments
• Maintain accurate client information in CRM and support administrative needs (scheduling, meeting prep)

Client Service Associate

• Manage and execute conversion activities
• Evaluate office setups and minimize disruptions
• Conduct analytic research and assess impacts
• Review diligence questionnaires and engage stakeholders
• Coordinate with business units on conversion execution

Senior Analyst, Practice Migration – OCI

Product Manager

• Own the end‑to‑end portfolio of AI‑enabled home office workflows, setting strategy and priorities based on volume, cycle time, rework drivers, operational risk, and measurable business impact.
• Partner with operations and supervision leaders to maintain a focused, outcome‑driven roadmap that delivers meaningful improvements each quarter.
• Shadow frontline work, review real cases, and map where submissions stall, return, or bounce across queues.
• Define and enforce intake standards that clearly specify required data, acceptable evidence, decision rules, and known edge cases, ensuring submissions are complete, reviewable, and automation‑ready from the start.
• Design human‑centered, AI‑assisted workflows that improve the experience for advisors, investors, and home office associates while preserving accountability, explainability, and regulatory defensibility.
• Collaborate with supervision, risk, legal, and compliance partners to translate policy and regulatory expectations into buildable workflow logic, evidence capture, and governance controls.

AVP, Home Office AI Product Owner

• Provide analytical support for various compensation projects as well as create insightful analysis, reports, and dashboards to analyze various compensation programs
• Support the BUs and HR Business Partners with job evaluations, pay equity reviews, and responding to general compensation inquiries
• Participate in the administration of the annual merit and bonus cycles from end-to-end including design, testing, communication, training and support to HRBPs and People Managers
• Conduct market pricing and competitive benchmarking, collecting and organizing data for analysis, summarizing findings and highlighting areas of focus
• Support the management of annual salary surveys
• Perform regular data audits to ensure accuracy, integrity and compliance with compensation data.

Compensation Analyst

• Design, build, and maintain Python Flask ETL microservices and automated data pipelines
• Develop, schedule, and monitor workflows using Apache Airflow
• Implement data ingestion from diverse sources, including Snowflake, flat files, cloud storage, and public APIs
• Partner with analytics and business teams to understand data requirements and deliver reliable, well-structured datasets
• Optimize pipeline performance, ensure data quality, and support production stability
• Contribute to DevOps best practices, including CI/CD workflows, testing, logging, and observability
• Document processes, data flows, and system dependencies for operational clarity

Growth Marketing

• Develop, execute and manage growth strategies to drive organic growth and advisor retention.
• Determine KPIs and track towards the growth success of the organization.
• Collaborate with cross functional teams (Advisory Solutions, Financial Planning, Marketing, etc.) to gain alignment and implement growth initiatives.
• Partner with Field Leaders to drive the growth of advisory assets, greater client wallet share and adoption of additional LPL services.
• Support the growth of the advisor community through conferences, forums and digital community.
• Analyze data to identify trends to formulate action plans to positively position the affiliation models as the most profitable models within the firm.
• Act as primary point of contact for Field Leadership to assist with coordinating recruiting meetings and sourcing appropriate home office speakers.
• Execute project deliverables ensuring that sales efforts deliver on the strategic goals

Senior Growth Manager

Program Manager

• Lead and manage a portfolio of strategic, cross-organizational programs that span multiple product and technology areas
• Align initiatives to enterprise strategy, ensuring prioritization and resource allocation reflect overarching objectives
• Establish and maintain strong program governance frameworks, including standards, controls, and performance metrics
• Identify, track, and manage interdependencies across programs, portfolios, and business functions
• Translate complex program data into clear, concise executive-level reporting, dashboards, and insights for senior leadership

VP, Strategic Delivery Program Manager

Financial Planning and Analysis

• Advisors are responsible for all functions of client relationship maintained including providing an exceptional service via incoming service calls, directing client transactions, preparing necessary client reports and forms, responding to client emails and proactive client outreach.
• Representatives will work together to ensure our book of 120,000+ are operationally maintained, compliant, and delivering on our client experience commitments through proactive check ins and outreach.
• Advisors should have a detailed understanding of all aspects of the financial planning process.
• Advisors should be effective at collecting and analyzing client data, developing and implementing appropriate solutions, as well as reviewing and maintaining those solutions on an ongoing basis.
• Advisors will need to knowledgably speak to core concepts such as education, tax, estate, insurance and investment allocation on a daily basis.
• Advisors have the freedom to utilize investment vehicles that are most suitable for clients.
• Advisors should have a detailed understanding of all account types, investment products, and investment markets in order to field questions from our diverse client base.
• Advisors will be responsible for meeting goals in asset investment, wallet share consolidation, and relationship deepening metrics.
• Facilitate communication and coordination between departments to ensure smooth client experience and integration.
• Assess and mitigate risk through regular book and client analysis. Prevent fraud through security checks and client conversations.

Senior Financial Representative

• Delivering financial advice and conducting reviews with clients over the phone via inbound and outbound calling activities
• Handling and executing client transaction and general customer service requests.
• Prepare client reports and proposals as required
• Support other departments and independent financial advisors in their understanding of the program
• Actively participate in customer service training and other training to remain current with operational policies and procedures
• Provide regular feedback to the Management team to improve both the advisor experience and operational efficiencies
• Communicate operational and financial industry policies and procedures.
• Identify new sales and asset retention opportunities
• Regularly exercise excellent business judgment
• Research and resolve advisor and client issues

Financial Representative

• Build, own and continuously maintain a master integrated project plan that spans major deliverables across programs and initiatives.
• Collaborate with program managers and workstream owners to ensure individual plans roll up cleanly into the integrated view.
• Identify timing collisions, overlapping deliverables, critical-path risks and resource constraints before they impact delivery.
• Establish a governance process for updating, reviewing and communicating the integrated plan.
• Provide clear, concise, executive-ready updates, dashboards and timeline summaries for SVPs and executive level leaders.
• Facilitate dependency review sessions and milestone alignment meetings.
• Build trusted relationships with stakeholders to ensure planning processes are adopted consistently.
• Oversee program and portfolio level budget management, including forecasting, tracking spend, ensuring financial alignment to strategic priorities, and optimizing resource allocation across initiatives.
• Escalates unresolved cross-program issues to the established executive forum for prioritization, funding alignment or timeline decisions.
• Evaluate, recommend and implement the tool that will serve as the system of record for integrated planning.
• Develop scalable templates, workflows, and standards for ongoing plan maintenance.
• Hire, coach and manage a team responsible for ongoing integrated plan as the integrated planning function grows.
• Define best practices, performance metrics and continuous improvement processes for the team.