LPL Financial

Vice President

• 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

Manager

• Set and execute the strategic direction for Product Operations to optimize efficiency, scalability, and client experience
• Lead, coach, and develop a team of 10+ employees, including performance management, career development, and engagement initiatives
• Oversee escalation management and ensure timely resolution of complex client, operational, or technology issues
• Manage a dedicated POD responsible for ClientWorks user onboarding and offboarding, ensuring accurate access provisioning and adherence to compliance requirements
• Drive continuous improvement through process optimization, standardization, and use of data-driven insights
• Partner cross-functionally with technology, compliance, and business teams to align priorities and deliver outcomes
• Establish and monitor controls to proactively identify, assess, and mitigate risks across product operations
• Promote an inclusive team culture that values diverse perspectives and encourages collaboration and innovation

Manager, Client Tech Services

Full-stack Engineer

• Develop and maintain full-stack applications using a variety of technologies, including front-end frameworks (e.g., React, Angular, Vue.js), back-end languages (e.g., Java, Python, C#), and database systems (e.g., SQL Server, Oracle, MongoDB).
• Collaborate with product owners, business analysts, and other developers to understand requirements, design technical solutions, and estimate effort.
• Write clean, efficient, well-documented, and testable code following best practices and architectural patterns.
• Participate in code reviews to ensure code quality, consistency, and adherence to standards.
• Design and implement RESTful APIs and microservices.
• Troubleshoot and debug production issues, providing timely resolutions and root cause analysis.
• Contribute to continuous improvement initiatives for development processes, tools, and methodologies.
• Mentor junior developers and share knowledge within the team.
• Stay up-to-date with emerging technologies and industry trends.

Senior Full Stack Software Engineer, AI & Cloud Platforms

Client Services Representative

• Provide comprehensive administrative and operational support within the financial advisor’s practice.
• Enhance client relationships, ensuring compliance with industry regulations, and supporting the firm’s growth initiatives.
• Serve as the primary point of contact for clients, addressing inquiries, resolving issues, and educating them on firm services and solutions.
• Assist with account-related requests, including transactions, maintenance, and online access, while ensuring compliance with regulatory standards.
• Manage client onboarding by collecting documentation, assessing risk profiles, and maintaining accurate records.
• Prepare reports and meeting materials, monitor account alerts, and support audits and regulatory reviews.
• Collaborate with financial advisors on business plans, marketing initiatives, and client engagement strategies.
• Perform administrative tasks such as scheduling, travel arrangements, and expense reporting.

Client Service Associate

Financial Planning and Analysis

• Perform recurring and Ad-Hoc system administration tasks to support business operations.
• Translate and visualize data into information and insights to discover trends and patterns for solving the business problem and improving key performance indicators.
• Provide a customer centric experience for business partners.
• Create detailed documentation, process flows, and diagrams.
• Train and support end users on project solution functionality and procedures
• Leveraging existing systems used by the business to create efficiencies and automation (Oracle, SAP, Workday, etc.)
• Promote a culture of continuous improvement within a progressively evolving environment.
• Drive project development through the project lifecycle
• Partner closely with our Product Management and Technology teams in support of various initiatives
• Build and maintain relationships within Finance, Technology, other business organizations, and with third party vendors.
• Ad hoc analysis, modeling, and additional responsibilities as required.

Finance Systems Analyst

Business Development Rep

• Prospect financial advisors to gauge/create interest in meeting with a LPL recruiter
• Use the news cycle, territory makeup and direction of the recruiters/leaders to execute on weekly prospecting campaigns
• Use independent judgement to qualify a lead, determining if the lead should be introduced to the pipeline by presenting to the Internal Regional Director or field Regional Director
• 100 outreaches per day – cold calls (primary), individual emails and social media outreaches (LinkedIn)
• Utilize Salesforce.com to track individual KPIs and understand the impact of lead flow on territory funnel and results
• Develop skillset, knowledge base and industry experience in order to qualify for next level opportunity as an Internal Regional Director.

Business Development Associate

• Lead LPL Research’s vertical tech stack development, from cross-functional relationship management to internal project management and individual contributions.
• Build and maintain master investment data sets to help the LPL Research department scale its investment reporting and analytics output with its industry-leading growth.
• Develop visualization tools that efficiently integrate multiple vendor data sources to unlock value within the LPL Research ecosystem through personalized curation.
• Develop a pre-trade analytics and order management solution, driving meaningful improvements in turnaround time and process scalability.
• Help LPL Research develop its long-term strategic positioning relative to peers by developing and sharing competitive intelligence insights across the firm.
• Independently support senior management with polished presentation materials on investment performance, risk management, and trends in asset flows across platform.
• Actively learn and support the portfolio management process by supporting members of Portfolio Management Committees with performance attributions, risk data, and insights.

AVP, Investment Analytics, Data

Marketing

• Serve as the strategic lead for prospect marketing
• Own prospect content strategy, campaign alignment, and industry positioning
• Drive digital-first engagement strategies
• Lead evidence-based performance marketing
• Partner closely with Business Development and Sales Enablement to enable sales effectiveness

VP Prospect Marketing

Sales

• Lead and manage the day-to-day activities of team consisting of Team Leaders, Financial Advisors, Client Service representatives, and Operations staff
• Create a culture of growth, ensuring that relationship deepening is being properly executed and that business objectives are being met
• Diagnose team performance and gaps to develop action plans to drive productivity
• Develop and implement a consistent sales process for all team members
• Drive client management and relationship deepening routines
• Manage all service-like aspects of the business to ensure things run smoothly and client needs are met
• Supervise the investment and relationship deepening process and ensure coordination and adherence to policies and procedures

VP, Sales Lead

Ecommerce

• Manage a team of software developers and ensure productivity and motivation
• Oversee the development and delivery of software projects
• Provide technical guidance to team members
• Manage relationships with internal and external stakeholders
• Identify and mitigate risks associated with software development projects
• Contribute to the strategic planning process of the organization
• Drive continuous improvement in the software development process

Software Engineering Manager – Digital Experience, Web/Mobile

• Own and manage a portfolio of control-related initiatives from assessment and planning through execution, implementation, and follow-through.
• Develop a working understanding of a variety of supervisory control areas and quickly get up to speed on the business processes, systems, stakeholders, and risks associated with each initiative.
• Review available data, reporting, insights, documentation, and feedback to understand how a control area is performing today and where opportunities exist to strengthen effectiveness, efficiency, and user experience.
• Conduct interviews and working sessions with impacted staff, leaders, and partners to assess current-state execution, pain points, strengths, weaknesses, and practical improvement opportunities.
• Help define and propose future-state processes, workflows, or operating approaches that better meet business, control, and experience needs.
• Translate initiative scope into clear roadmaps, milestone plans, deliverables, dependencies, owners, and timelines, and maintain accountability against those commitments.
• Execute within a defined delivery framework to ensure progress is consistently documented, tracked, escalated appropriately, and communicated to key stakeholders.
• Provide regular updates on initiative status, risks, issues, dependencies, decisions, and overall progress to stakeholders and leadership.
• Bring the right partners into the work at the right time to gather input, secure buy-in, maintain alignment, and support effective adoption.
• Coordinate across impacted groups, including Supervision business line leaders, Product, Technology, Compliance, Risk, operations partners, capacity management, and business readiness teams.
• Support initiative activities such as current-state and future-state mapping, requirements gathering, action planning, readiness planning, issue tracking, and implementation coordination.
• Maintain strong delivery discipline across meeting notes, action items, decision logs, milestone tracking, status reporting, and documentation of execution progress.
• Monitor commitments across all contributors and deliverable owners, helping drive follow-through and accountability beyond directly owned tasks.
• Apply judgment and structure to work through ambiguity, competing priorities, and changing business needs while keeping initiatives on track.

AVP, Control Initiative Execution – Delivery

Risk

• own and maintain the supervisory controls framework, including inventories of control ownership, Written Supervisory Procedures (WSPs), user guides, supporting procedures, and related documentation
• establish and execute routines to ensure documents are reviewed, updated, approved, and communicated as processes, controls, or regulatory expectations change
• drive change management activities tied to process, policy, system, and procedural updates
• represent Supervision on control, governance, and change-related committees; prepare materials, communicate key decisions and action items
• produce regular reporting and leadership readouts on control framework health, documentation status, change activity, audit and testing readiness, open issues, and management action plan progress
• own the audit and compliance testing calendar and lead readiness routines in advance of planned events
• partner with business line leaders before, during, and after audits and testing engagements to assess readiness
• support the development of practical, well-scoped management action plans and oversee ongoing tracking, monitoring, and reporting through closure
• maintain risk and control inventory records
• identify control gaps, documentation inconsistencies, or governance weaknesses and recommend pragmatic improvements to strengthen the overall supervisory control environment
• lead, coach, and develop direct reports, establish priorities across the team, and create a disciplined operating cadence for recurring governance and readiness activities

AVP, Supervisory Controls Governance

Artificial Intelligence

• Maintain strong awareness of the rapidly evolving AI ecosystem
• Translate new AI capabilities into practical engineering patterns
• Accelerate adoption of the enterprise AI platform across engineering teams
• Ensure experimentation leads to reusable capabilities rather than isolated prototypes
• Provide a clear feedback loop to the AI Platform organization on emerging needs
• Continuously evaluate emerging AI technologies and techniques that can meaningfully improve enterprise AI systems
• Develop prototypes and reference implementations that validate new AI approaches
• Translate experimentation into practical assets that accelerate the development of production AI systems across the organization
• Help engineering teams adopt AI capabilities effectively

VP, AI Innovation – Enablement

Affiliate Manager

• Facilitate in-depth training to independent and institutional advisors and their staff on all LPL core technology
• Select delivery modalities that best serve audience segments and program objectives
• Demonstrate effective communication, presentation and questioning skills applicable to various learning styles
• Provide repapering support to aid new advisors in moving their book of business to LPL Financial
• Develop a trusting partnership with the advisor and create a strategy for settling their entire book of business
• Be the subject matter expert and go-to person in the areas of LPL technology training and account processes for the advisor throughout their transition
• Forecast each advisor’s unique needs through active listening and conduct due diligence to ensure needs are addressed quickly

Transition Support Partner – M&A

• Support the execution of program goals and management objectives, with a strong focus on Financial Planning, Managed Money, and Insurance business growth.
• Partner with the Regional Investment Director to drive results across key performance indicators, including AUM growth, productivity, and advisor headcount.
• Provide hands-on coaching and development to Financial Advisors to enhance sales effectiveness, deepen client relationships, and improve adoption of core solutions.
• Reinforce consistent use of financial planning and advisory tools to promote holistic client engagement and strong practice management discipline.
• Assist in managing relationships with bank and credit union partners, ensuring alignment to strategic priorities and supporting execution of growth initiatives.
• Identify opportunities within the advisor population through performance data and field observation; implement targeted actions to improve outcomes.
• Support recruiting efforts by helping to identify, attract, and onboard high-quality Financial Advisors into the program.
• Act as a day-to-day resource for advisors, helping to resolve challenges, remove barriers, and escalate complex issues as appropriate.
• Help maintain a strong risk and compliance culture by reinforcing adherence to regulatory requirements and program policies.
• Contribute to a positive team culture that emphasizes accountability, collaboration, and continuous improvement.
• Support change management efforts by helping advisors navigate evolving program initiatives, tools, and expectations.