LPL Financial

Security Engineer

• Discover AI/agent identity requirements across users, services, runtimes, tools, and APIs
• Assess SSO, MFA, federation, and API authorization models and identify gaps
• Design enterprise IAM patterns and OAuth/OIDC client models
• Define standards for securing agent tools, data access, and cross-domain integrations
• Produce architecture artifacts and reference implementations
• Lead and build IAM proofs of concept, including end-to-end flows, token exchange, gateway enforcement, and delegated agent access
• Configure and test identity flows; troubleshoot tokens, scopes, and integrations
• Implement or guide IAM integrations across gateways, BFFs, agent orchestration, and observability
• Evaluate and implement Non-Human Identity and secrets-management solutions for agents and autonomous workloads
• Design and implement agent identity at the gateway, including token validation, scope enforcement, and policy-driven access control
• Automate agent onboarding workflows, identity registration, entitlement assignment, and IAM/PAM integration
• Define entitlement and data enforcement patterns for authorized access to tools, APIs, and datasets
• Ensure production-scale reliability, observability, and operational readiness
• Design and test MCP-enabled identity integration flows
• Enable secure external developer, agent, and MCP access through federation, scoped credentials, and gateway controls
• Transition validated patterns to IAM engineering for production rollout
• Define agent identity lifecycle, including registration, credential rotation, revocation, and environment separation
• Integrate IAM across AI platform components and support CI/CD and IaC for IAM configurations
• Establish 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 and partner on threat modeling and controls
• Serve as IAM subject matter expert for AI initiatives and mentor engineers
• Deliver production-ready IAM patterns and reduce identity risk across AI workloads

AVP, IAM AI Architect, Cyber Security

Operations

• Partner with the VP in leading Cash Management operations, including wires, ACH, checks, journals, and other money movement activities, ensuring timely, accurate, and compliant processing
• Drive operational performance through management of key metrics, service levels, business cycle times, productivity, and quality standards
• Maintain a strong risk and control environment, ensuring compliance with regulatory requirements, internal policies, and audit expectations
• Partner with Risk, Compliance, Technology, Service, and Business leaders to improve processes, mitigate risk, and enhance the client experience
• Lead continuous improvement and automation initiatives to increase efficiency, reduce operational risk, and support business growth
• Develop and coach leaders and associates, fostering accountability, collaboration, engagement, and high performance
• Provide strategic direction, capacity planning, and operational readiness to support changing business needs and volume demands
• Develop and execute the Cash Management operational roadmap, including process optimization, capacity planning, automation opportunities, remediation efforts, and organizational readiness initiatives
• Communicate operational performance, risks, and recommendations to senior leadership and key stakeholders
• Identify and lead implementation of process automation, AI-enabled workflows, and operational improvements that enhance efficiency, scalability, and risk management
• Serve as an escalation leader for high-profile advisor, client, and executive concerns requiring cross-functional coordination and resolution

AVP, Cash Management Operations

Artificial Intelligence

• Own and mature the enterprise AI governance strategy, framework, operating model, policies, standards, and decision rights
• Establish risk-based guardrails and approval paths for AI development, acquisition, deployment, monitoring, material change, and retirement
• Oversee AI risk assessments covering model performance, data quality, privacy, cybersecurity, intellectual property, bias, fairness, transparency, explainability, human oversight, and regulatory compliance
• Lead governance for generative AI, machine learning, large language models, agentic AI, and other emerging AI capabilities
• Maintain AI inventories, use-case classifications, lifecycle controls, exception processes, and evidence of accountable ownership
• Define enterprise metrics, key risk indicators, dashboards, and escalation protocols for AI risk exposure and control effectiveness
• Monitor AI regulation, supervisory guidance, industry standards, and market practices and translate them into enterprise action
• Advise business and technology leaders on responsible innovation
• Design and maintain an integrated AI risk and control framework aligned with enterprise risk management and related risk programs
• Establish testing, validation, monitoring, issue management, remediation, and continuous controls monitoring for AI solutions
• Oversee third-party AI provider, embedded AI, data source, and foundation model risk management
• Lead and strengthen the enterprise Technology Risk Management framework, policies, standards, risk appetite, reporting, and escalation processes
• Provide independent oversight and challenge across technology strategy, cloud adoption, cybersecurity, data governance, digital transformation, third-party technology, and operational resilience
• Integrate technology and AI risks into enterprise risk assessments, RCSA, compliance, audit, issue management, and control assurance programs
• Present risk insights, trends, decisions, and recommendations to senior leadership, governance committees, regulators, auditors, and Board-level stakeholders
• Serve as senior management liaison for examinations, audits, and regulatory reviews
• Partner with Legal, Compliance, Privacy, Information Security, Internal Audit, Model Risk, and Data Governance
• Build and lead a high-performing team of AI governance, technology risk, controls, and emerging-risk professionals
• Develop enterprise capability in responsible AI, emerging technology risk, advanced monitoring, and risk-informed decision making
• Foster accountability, transparency, constructive challenge, and responsible innovation

SVP, Technology Risk – AI Governance

Financial Planning and Analysis

• Manage daily processing and service-oriented tasks
• Reconcile and analyze reports; perform daily quality control, manage error rates, review exceptions, and complete daily reporting
• Reconcile suspense accounts and validate transactions for compliance with corporate and regulatory policies and procedures
• Communicate with internal departments and external parties including contra brokers, transfer agents, issuers, vendors, and partners
• Research and process service requests created by service teams
• Support and contribute to projects and initiatives; participate in UAT
• Leverage technology to automate manual work and simplify processes
• Contribute feedback for risk-based mitigation approaches and departmental requirement changes
• Interpret rule modifications in a changing regulatory environment and understand business needs
• Develop quality service standards and processes
• Handle escalations from the Service Center and advisors
• Perform other assignments as required by management

Associate Analyst, Alternative Investments

People Operations

• Support the growing employee advisor channel by providing HR Business Partner support across Linsco and L&S business lines
• Support people leaders managing financial advisors in various geographic locations and home office employees
• Implement comprehensive People programs, policies, and practices supporting business plans
• Support leadership development, workforce planning, compensation, talent management, change management, employee engagement, retention, professional development, culture, and diversity initiatives
• Manage performance management for assigned business units with people managers and Employee Relations
• Provide direct support to employees and business leaders with People questions and creative problem solving
• Lead and participate in cross-functional project teams with People and corporate partners
• Facilitate improvements to HR policies, benefits, initiatives, and processes
• Provide overall People support for business-as-usual matters
• Develop creative and innovative solutions to complex business problems
• Prepare and maintain materials supporting initiatives across the client group
• Develop methods for compiling and analyzing data for reports and special projects with Workforce Analytics and other partners

AVP, People Business Partner

Product Analyst

• Develop and implement WalkMe solutions that improve user engagement and drive adoption of proprietary platforms
• Create and configure in-app guidance, automation, and adoption features for complex processes and workflows
• Analyze user behavior data and platform insights to identify adoption challenges and optimization opportunities
• Troubleshoot and resolve issues related to WalkMe deployments and integrations
• Collaborate with product management, UX/UI design, service support, and other stakeholders
• Ensure timely delivery of WalkMe initiatives aligned with project objectives and timelines
• Conduct testing and quality assurance to validate functionality, usability, and performance
• Maintain and enhance existing WalkMe content
• Document solutions, configurations, test results, and implementation processes
• Support continuous improvement through analysis, reporting, and solution optimization

Senior Product Analyst

Analyst

• Provide resolutions to questions or requests related to LPL Client Reporting Applications and software
• Serve as a dedicated liaison for advanced Client Reporting escalations
• Provide top-tier service and support client reporting needs
• Collaborate with team members on multiple and overlapping client requests
• Field client escalations and provide performance-related explanations
• Perform transaction accounting to analyze firm-wide investment activity
• Review and validate performance figures and resolve discrepancies
• Collaborate with business units to correct recurring issues
• Identify reporting defects
• Document data quality issues, performance measures, and quality improvements
• Implement solutions with management direction
• Oversee existing processes and mitigate risk against future firm impact

Associate Analyst, Performance and Data Reconciliation

Pricing Analyst

• Perform daily and monthly quality control reviews of security master and pricing data
• Maintain and validate mutual fund and investment product data across downstream systems
• Serve as a subject matter expert for Security Master and Pricing processes
• Analyze sponsor documentation and update investment data platforms
• Investigate and resolve pricing, performance, reconciliation, and valuation discrepancies
• Partner with internal and external stakeholders to address investment data issues and identify root causes
• Support advisor and client reporting by researching and resolving escalated inquiries
• Develop metrics, trend analyses, and reporting to support operational performance and risk monitoring
• Assist with technology and process improvement initiatives, including client-facing and internal applications
• Maintain department procedures and support continuous process improvement efforts
• Review industry announcements and implement required updates to investment data records

Associate Analyst, Pricing Team

Infrastructure Engineer

• Lead and manage a team of infrastructure engineers
• Develop and execute an infrastructure strategy focused on scalability, resilience, and cost-effectiveness
• Ensure infrastructure security and integrity through best practices, monitoring, and threat mitigation
• Drive adoption of technologies and methodologies to improve infrastructure performance, automation, and operational efficiency
• Manage vendor relationships and technology procurements
• Develop and manage infrastructure budgets, forecast needs, and optimize resource allocation
• Establish and enforce infrastructure standards, policies, and procedures
• Collaborate with development, operations, and security teams to integrate and support business applications
• Provide technical leadership and mentorship to the infrastructure engineering team
• Lead disaster recovery and business continuity planning and testing for infrastructure services

VP, Infrastructure Engineering Manager

Administrative Assistant

• Provide executive administrative support to LPL’s Executive Vice President and leadership team
• Manage day-to-day executive administration, including emails, scheduling, meetings, conference rooms, and general administrative functions
• Manage group distribution lists for the business unit
• Maintain executive calendars and communicate changes
• Prepare meeting materials and order food and beverages when applicable
• Coordinate executive travel, including air, lodging, and transportation, across multiple time zones
• Ensure ease of travel by coordinating hotel check-in and appropriate buffers between travel and meetings
• Support client engagement activities involving advisors, clients, subject matter experts, and executive leadership
• Manage meeting logistics, materials, schedules, and follow-up
• Organize receipts and enter expenses in Concur
• Prepare and review meeting documents and department communications
• Plan department events, including holiday parties and town halls
• Act as gatekeeper to the EVP and protect the executive’s schedule
• Manage the EVP’s inbox, flagging executive, client, and business partner messages
• Forward escalations to appropriate business owners
• Partner with the EVP’s chief of staff and respond to emails on behalf of the EVP when appropriate
• Schedule preparation meetings and ensure pre-read documents are received for external meetings

Executive Administrative Assistant

Vice President

• Lead support and operations of Kafka and Swagger Hub platforms
• Manage mission-critical Kafka messaging, streaming, and integration platforms powering advisory platforms
• Lead Kafka Middleware Platform Engineering Operations for on-premise and cloud-based platforms
• Develop a high-performing platform team and manage financial planning, vendors, and contract negotiations
• Develop strategy, roadmaps, and operational metrics for Kafka platforms
• Manage incident resolutions, platform upgrades, maintenance, and automation for Kafka and Swagger Hub platforms
• Help application teams onboard to messaging platforms
• Deliver internal automations and self-service capabilities for the developer community
• Install, manage, and maintain messaging platforms
• Consolidate platforms into cloud and maintain operational hygiene
• Integrate platforms into a common management approach using DevSecOps and infrastructure-as-code principles
• Establish feedback loops for continuous improvement and prioritization of customer needs
• Use Jira and ServiceNow to capture, track, assign, and plan demand and work
• Lead, coach, and develop onshore, nearshore, and offshore engineers
• Collaborate across the firm to align vision, strategy, and performance goals
• Leverage critical thinking and an entrepreneurial mindset to increase the value proposition of assigned products and programs

VP, Kafka Platform Manager

• Lead support for financial advisors in LPL's Linsco employee channel
• Oversee regional profitability as the region grows to include multiple branches
• Partner with advisors to create and implement business growth
• Maintain high advisor retention and satisfaction
• Support advisor recruitment by presenting the Employee Channel's mission and vision
• Help transition new teams to LPL
• Build and maintain strong advisor relationships while balancing model profitability
• Report to the Divisional Director
• Develop strategic roadmaps, milestones, operational metrics, and sustainable processes
• Build, motivate, and develop strong teams at scale
• Collaborate internally and externally to prioritize and support the channel

Vice President – Regional Branch Manager

Product Manager

• Serve as product owner for the Personalization and Business Configurator product in Advisor Experience
• Act as subject matter expert on users and their needs through customer interviews, product analytics, feedback sessions, and internal partner insights
• Define the mid-term technology product development roadmap, key features, and capabilities
• Manage development cycles with clear schedules, deliverables, and milestones
• Develop and monitor product and feature success metrics
• Collaborate with diverse cross-functional teams to drive continuous improvements
• Maintain alignment across the firm on vision, strategy, and performance goals
• Work with Product Management to maintain product vision, roadmap, growth opportunities, and backlog based on business value or ROI
• Lead product release planning and set delivery expectations using PI roadmaps
• Mitigate impediments affecting Release and Sprint Goals
• Set direction for Agile development teams and stakeholders and facilitate requirements
• Plan and prioritize product feature backlog and development
• Assess value, develop cases, and prioritize stories, epics, and themes
• Manage the backlog, plan iterations, and elaborate user stories
• Research and analyze the market, users, and product roadmap

AVP, Product Owner

• Own the end-to-end governance framework for the Mandatory Regulatory portfolio
• Lead annual portfolio planning, including intake, evaluation, prioritization, and funding recommendations
• Develop and maintain portfolio allocation strategies to optimize regulatory risk reduction
• Evaluate regulatory findings, commitments, audit observations, industry developments, and emerging risks to inform investment decisions
• Establish funding recommendations across portfolio, reserve, and contingency allocations
• Lead ManReg Operating and Executive Governance Forums
• Prepare executive-level materials and recommendations for MD, GMD, EVP, and Executive Committee audiences
• Drive decision-making across Business, Product, Technology, Risk, Compliance, Legal, and Operations leaders
• Facilitate resolution of investment, prioritization, funding, and delivery conflicts
• Serve as primary point of contact for portfolio governance and funding inquiries
• Oversee portfolio financial performance across approved initiatives
• Partner with FP&A, EPMO, Procurement, and delivery leaders on forecasting, budget management, and variance reporting
• Govern contingency and reserve funding allocation processes
• Monitor portfolio financial health and identify risks requiring executive visibility
• Establish and monitor portfolio-level delivery health measures
• Identify emerging execution risks and facilitate remediation activities
• Ensure governance and oversight processes for funded initiatives
• Drive consistency in accountability, reporting, and escalation management
• Improve portfolio governance processes, reporting capabilities, and investment decision frameworks
• Expand automation, data analytics, AI, and predictive insights in portfolio management
• Develop scalable governance models for additional strategic investment portfolios
• Provide leadership and mentorship to portfolio governance resources
• Foster accountability, collaboration, continuous improvement, and operational excellence
• Influence senior leaders without direct authority to achieve enterprise outcomes

Vice President – Mandatory Regulatory Portfolio Governance

• Collaborate with team members on multiple and possibly overlapping client requests
• Support clients by fielding escalations and providing performance-related explanations
• Perform transaction accounting to analyze firm-wide investment activity
• Review and validate performance figures and resolve discrepancies
• Collaborate with other business units to correct recurring issues
• Identify reporting defects
• Document data quality issues, performance measures, and quality improvements
• Implement solutions with management direction
• Oversee existing processes and mitigate risk against future firm impact
• Provide resolutions to questions or requests related to LPL Client Reporting Applications and software
• Serve as a liaison for advanced Client Reporting escalations and ensure client reporting needs are exceeded