LPL Financial

Financial Planning and Analysis

• Analyze advisor business practices to help them better understand strengths and opportunities for their firms as well as metrics on profitability, cash flow, efficiency, and valuation
• Prepare standard deliverables in Excel and determine significant insights to be relayed to advisors
• Present analyses to internal team members and subscribing advisors
• Partner with CFOs and consult with them on opportunities to add value for their paired advisors
• Coordinate with newly subscribed advisors to onboard them quickly effectively, ensuring all steps in the process have been completed
• Utilize Tableau to provide regular and custom reporting to advisors
• Improve existing financial models and build new models when opportunities are identified
• Assist with CFO and IAT team projects to improve quality for advisors and efficiency for the team

Analyst, CFO Solutions

Client Services Representative

• Provide comprehensive client support through daily communication with advisors and clients, addressing inquiries on account activity, policies, and documentation while managing time-sensitive tasks such as RMDs, distributions, and tax forms.
• Submit account instructions, research complex issues, and collaborate with internal teams to ensure timely resolution.
• Educate clients and advisors on services and technology, including eSignature and paperless options, while contributing to peer development and project work.
• Manage operational reports for cash management and distributions, complete special projects, and promote cost-saving initiatives through digital adoption.
• Perform administrative duties such as scheduling, preparing meeting materials, updating CRM systems, and processing expense reports.

Client Service Associate

Engineering Manager

• Provide technical leadership while collaborating with Business and Product teams
• Supply the delivery of deep customization, scalability, and a streamlined experience for LPL advisors
• Act as a mentor and lead on a cross-functional team that includes business analysis and engineering
• Ensure all engineering designs and model architecture align with enterprise standards
• Work across business, product and technical teams to deliver solutions that drive commercial impact

VP, Software Development Manager

Vice President

• Develop and implement sales incentive plans aligned with corporate objectives and growth strategies.
• Benchmark market data to ensure competitive and effective compensation programs.
• Provide governance oversight and risk evaluation in partnership with internal risk teams.
• Lead the transformation initiative of the incentive compensation program to transition to a new Sales Performance Management system.
• Manage vendor relationships through the setup of the new system.
• Oversee administration of incentive programs, including design, audits, and reporting.
• Lead quarterly preparation and presentation of executive materials for the ICC.
• Analyze current processes to identify opportunities for efficiency and centralization.

VP, Incentive Compensation

Consultant

• Provide outstanding service through phone support with complex inheritance/divorce-related issues via an inbound call center environment
• Create a reliable support system for advisors so they can easily navigate through estate-related inquiries
• Take ownership and follow through with complex and escalated cases
• Ensure that requirements are being accurately communicated and answer questions related to the inheritance process
• Use decision-making skills to process estate and divorce claims through to completion
• Communicate in an empathetic and professional manner due to the sensitive nature of Estate and Divorce situations
• Review documentation such as letters of testamentary, trust agreements, Qualified Domestic Relations Order, divorce decrees, and other estate-related paperwork

Associate Service Consultant

• Provides system support and guidance to advisors regarding our systems, including model management, rebalancing functionality, and block trading tools.
• Maintains a working knowledge about equity, option, ETF, and mutual fund products, the markets, and keeps understanding of the market impact and execution complexities of large trades.
• Masters all aspects of the systems to educate and consult advisors on the best way to utilize system capabilities to obtain their desired objective(s) utilizing strong customer service skills.
• Assists 20-35 inbound calls a day.
• Support LPL’s volume contingency plan (VCP) by training and supporting Equity Trading and/or Mutual Fund Trading in a VCP capacity.
• Works closely with the Business Transition Partners (Recruiting) team to showcase Enhanced Trading’s capabilities to prospective LPL Financial advisors and then help them train and onboard the advisor once in the onboarding process.
• Support advisor-facing virtual demonstrations, educational workshops around key functionality and partner with Technology agile project management.

Trading Consultant

Analyst

• Receive, review, and triage customer complaints related to operational issues
• Conduct thorough investigations of operational complaints by gathering relevant data
• Collaborate with relevant departments to resolve complaints efficiently
• Document and maintain accurate records of complaints
• Identify opportunities for process improvements based on complaint analysis

Complaint Analyst

Solutions Engineer

• Lead cloud migration initiatives and architect cloud-native solutions, primarily on AWS.
• Design and develop scalable solutions across web, API, and event-driven architectures.
• Architect and maintain big data solutions, including data warehousing and data lakes (e.g., Snowflake, DocumentDB, S3).
• Collaborate on the adoption and integration of Generative AI (GAI) solutions.
• Ensure robust system integration using APIs, events, and cloud technologies.
• Collaborate with Lean Product Portfolio Management to provide a high-level vision of enterprise solutions and development initiatives.
• Assist Agile Program Management Office (ACDC) in identifying and designing development value streams and supporting artifacts.
• Participate in strategy for building and maintaining the architectural runway via Enabler Epics.
• Drive architectural initiatives via enabler epics and participate in their analysis.
• Influence modeling, design, and coding practices, promoting Continuous Delivery Pipeline and DevSecOps capabilities.
• Facilitate the reuse of code, components, and proven patterns.
• Synchronize disciplines across solutions, including system/data security, production infrastructure, user experience, and nonfunctional requirements (NFRs).
• Analyze enterprise business context and change requirements to guide solution decisions.
• Define principles and models to guide solution decisions for AV and enterprise.
• Assist with governance activities to ensure ESA and EA compliance.
• Document solution architecture design and analysis work in a structured fashion matching the EA framework.
• Advocate principles of business and IT strategies, EA development, and service delivery.
• Coordinate with enterprise business, information, and technology architects.

Principal Solution Architect

Customer Success Manager

• Develop an in-depth understanding of each advisor, their business objectives, and their impact within the broader organization.
• Drive advisor satisfaction, revenue, asset growth, and profitability by proactively introducing LPL Financial’s services and solutions.
• Design and execute business strategies in conjunction with LPL conference engagements throughout the year.
• Act as a strategic liaison, supporting internal partners and programs through targeted connections and referrals.
• Host advisors at our headquarters, deepening relationships and enhancing strategic alignment.
• Engage regularly with executive leadership and management to advocate for advisor needs and promote organizational understanding.
• Participate in internal committees and project teams, providing advisor perspectives to inform content, timing, and delivery strategies.
• Navigate change and competing priorities with agility, driving informed decisions across multiple functions.
• Stay abreast of industry trends, products, platforms, and resources to identify new opportunities for advisors.
• Model exemplary engagement and peer leadership within the Client Success team.
• Lead comprehensive annual Business Assessments and detailed advisor reviews.
• Document advisor activities and opportunities in Salesforce CRM with accuracy and timeliness.
• Develop and implement response plans to sustain or improve advisor satisfaction and manage attrition risk.
• Master all facets of successful practice management, including systems, technology, marketing, sales, product expertise, regulatory training, and operational excellence.
• Plan and execute travel rotations to maximize advisor engagement and support.

AVP, Success Manager

Artificial Intelligence

• Assess change and adoption impacts of AI initiatives at the use-case and portfolio level, including readiness, risks, and dependencies.
• Design and execute AI change and adoption strategies explicitly tied to business outcomes such as advisor productivity, cost reduction, and cycle-time improvement.
• Develop and deliver AI literacy and enablement programs tailored to executives, leaders, advisors, and operational teams.
• Translate AI initiatives into clear, compelling ‘what changes for me’ narratives for impacted roles and personas.
• Partner closely with AI Business Partners and AI Product teams to ensure adoption and change requirements are embedded into product design and rollout plans.
• Establish adoption, usage, confidence, and trust metrics tied to specific AI use cases and enterprise KPIs.
• Build and lead change champion networks and communities of practice to accelerate peer learning and sustain momentum.
• Lead executive and enterprise communications related to AI adoption progress, outcomes, and lessons learned.
• Coordinate with HR, Risk, and Compliance to ensure training, controls, and ways of working evolve in step with AI deployment.

AI Change & Adoption Lead – AI Delivery Office

General Counsel

• Advise on legal and regulatory issues related to the use of AI in broker-dealer functions, including trade surveillance, client onboarding, and compliance automation.
• Draft, review, and negotiate contracts involving AI technologies, data usage, and third-party vendors.
• Collaborate with compliance, risk, and technology teams to develop and implement AI governance frameworks.
• Monitor and interpret evolving AI regulations (e.g., SEC, FINRA, EU AI Act) and assess their impact on business operations.
• Provide legal support for AI model validation and development, explainability, accuracy and risk assessments.
• Support incident response and regulatory inquiries involving AI systems or data.
• Educate internal stakeholders on legal risks and best practices related to AI and data governance.

Vice President, Assistant General Counsel – AI

• Identify major threats and opportunities for LPL
• Lead initiatives that will have a material impact to LPL
• Collaborate with senior leaders across LPL
• Be responsible for the backlog of strategic initiatives
• Take a data-driven approach to uncovering value pools
• Establish processes for the rest of the team to adopt
• Interact with customers to receive feedback and uncover insights
• Be a key team member in the team responsible for defining LPL’s long-term strategy
• Be an ambassador for LPL, building relationships with external business partners

VP, Strategy

Events

• Develop, document, and implement a comprehensive event strategy that aligns with LPL Financial’s business objectives, marketing goals, and advisor engagement initiatives.
• Oversee the full program lifecycle of all major LPL conferences and events—from strategic planning through post-event evaluation.
• Lead, mentor, and develop a high-performing team of event professionals.
• Collaborate cross-functionally with key partners across Marketing, Sales, Product, Technology, Compliance, and other internal groups.
• Develop, manage, and optimize substantial event budgets, ensuring maximum return on investment (ROI).
• Establish and maintain SOPs for vendor and partner management.
• Leverage advanced analytics and data storytelling to assess event performance.

VP, Conference Experiences – Events

• Guide the end-to-end experience strategy for banking and lending enterprise portfolio
• Lead the UX strategy and define north-star journeys for products
• Create end-to-end journeys, user flows, information architecture, wireframes, and high-fidelity prototypes
• Collaborate with Product, Engineering, Research, Legal/Compliance, and Architecture teams
• Facilitate discovery workshops, requirements-gathering sessions, and alignment meetings
• Contribute to design system components, patterns, guidelines, and governance

AVP Principal – Banking & Lending

• Provide problem-solving, reporting, project and training support to the Networking team
• Communicate complex issues both in writing and verbally to management and internal/external vendors and customers
• Provide oversight of existing processes and mitigate risk against future firm impact
• Document quality issues, performance measures and quality improvements for management review
• Support leadership on multiple and possibly overlapping projects
• Ability to take on new challenges
• Reengineer existing processes for improved experience and accuracy
• Coordination with internal and external team members to implement or support ongoing processes
• Process change management including updating and maintaining department controls and procedures
• Ability to meet strict deadlines with minimal supervision in a fast-paced environment
• Analyze information and strong reporting skills
• Handle escalations received from both the Service Center and Internal teams