Jobs at LPL Financial

Supports client compensation operations through data sorting, modeling, complex analysis, reconciliations, reporting, and process improvement. Researches and investigates compensation issues, collaborates with internal and external partners, validates reporting data, supports project work, and provides subject-matter-expert data assistance. The role requires independent work, strong communication, attention to detail, and the ability to manage multiple priorities in a fast-paced financial services environment.

Lead the Advisory & Product Consulting Desk, managing a team that supports financial advisors through phone and email. Responsibilities include onboarding and training, performance management, metrics reporting, continuous process improvement, team engagement, advisor support, recurring meetings, and cross-functional strategy implementation. The manager may directly handle advisor calls and emails and must foster a collaborative, client-focused culture.

Provide trading support to financial advisors, money managers, and retail clients by placing equity and options orders, answering trade inquiries, resolving trade and settlement issues, and handling high-volume inbound and outbound calls. Explain product risks, fees, regulations, and firm policies while ensuring accurate and compliant trade execution and delivering strong client service.

Design, build, and maintain Python-based data applications and scalable data pipelines using AWS Glue and PySpark; deploy containerized services on EKS; implement APIs with API Gateway and Lambda; integrate PostgreSQL, DynamoDB, and Kafka; follow TDD, CI/CD, and document work in Confluence and JIRA while collaborating in Agile teams.

Lead strategy, health, and evolution of LPL's centrally managed advisory programs (UMA, SMA, MF/ETF wrap). Drive program adoption, asset growth, risk management, profitability, cross-functional initiatives, and advisor engagement.

Lead and resolve complex retirement cash management escalations, ensure IRS-aligned procedures, train new associates, perform quality reviews, research advisor inquiries, support testing and process improvements, and educate internal partners and advisors on products and processes.

Lead the Technology Governance program, develop strategies, uplift policies, collaborate with teams, and mentor staff in a financial services context.

Support sponsor billing by preparing routine invoices, applying cash receipts, tracking receivables, handling sponsor inquiries, performing reconciliations and journal entries, reviewing aged receivables, and supporting ad hoc billing and process-improvement projects.

Design and deliver analytics, reporting, and observability solutions for contact center and platform telemetry. Build dashboards, scorecards, and automated reports using contact center analytics and BI tools, support AI-enabled quality capabilities, triage issues, conduct root cause analysis, and partner cross-functionally to improve advisor, customer, and operational experiences.

Drive Financial Advisor lead flow through phone-based prospecting, cold-calling (100 outreaches/day), email and social outreach. Qualify leads, present to regional directors, track KPIs in Salesforce, execute targeted campaigns, and develop skills for advancement to Internal Regional Director.

Lead and execute advanced manual penetration tests across web, mobile, API, cloud, and AI-enabled applications. Scope, conduct, and report findings; develop custom tools/scripts; validate remediations; collaborate with stakeholders, Application Security, and bug bounty programs to improve offensive security posture.

Manage and triage client feedback, ensure timely acknowledgments and closed-loop responses, coordinate SMEs, monitor trends/escalations, improve tooling and workflows, and drive governance and client-centric culture.

Analyze and test cost-basis and tax reporting processes, perform data analysis and quality control, lead improvements and UAT, support audits and escalations, and collaborate with internal partners to increase operational efficiency.

Lead strategy, architecture, implementation, and operations of LPL's container platform (primarily Amazon EKS). Build a self-service platform, drive cost-efficiency and SRE practices, expand runtimes (ECS/OpenShift), embed agentic AI, lead a globally distributed engineering team, participate hands-on in Terraform/Helm work, and serve as senior incident commander and people manager.

Provide strategic legal counsel for onboarding, due diligence, sales practices, and controls for alternative investments, complex products, and digital assets. Draft and negotiate sponsor agreements, develop policies and procedures, perform legal research and memoranda, and collaborate with Compliance, Product Due Diligence, Risk, and Supervision teams to ensure regulatory compliance for the broker-dealer and investment advisory businesses.

Manage and execute People integration programs for acquisitions: coordinate onboarding, employee transitions, communications, data validation, project plans, stakeholder meetings, metrics, and process improvements. Lead smaller integrations independently and support larger acquisition integrations across HR workstreams to ensure consistent, efficient employee transitions and experience.

Provides inbound phone and case support for complex inheritance and divorce-related brokerage account matters. Reviews estate and legal documents, verifies regulatory and departmental requirements, processes beneficiary asset distributions, mitigates firm risk, handles escalations, and guides advisors and clients through resolution. The role also supports process improvements, training, and team initiatives in a fast-paced call center environment.

Leads workforce management execution and optimization across LPL’s Service organization. Oversees scheduling, intraday and real-time operations, service-level performance, workforce analytics, technology roadmaps, dashboards, and continuous improvement. Partners with Service, Operations, Finance, Technology, Capacity Planning, Forecasting, and HR leaders to align resources with client demand. Builds and develops a high-performing workforce management team while driving productivity, scalability, employee experience, and operational excellence.

Leads LPL’s globally distributed AWS Support organization within the Cloud Center of Excellence. Owns 24x7 Tier 1 and Tier 2 cloud operations, ticket triage, IAM and access fulfillment, runbooks, change windows, major incident command, automation, and Terraform-based self-service. Manages engineering staff, contributes hands-on to cloud infrastructure and incident response, embeds AI capabilities into support workflows, and partners with security, networking, monitoring, platforms, and delivery teams to improve reliability, governance, and developer experience.

Conduct due diligence reviews for prospective advisors, assessing Outside Business Activities, Private Securities Transactions, and office sharing for regulatory compliance. Consult with advisors, investigate policy breaches, support regulatory inquiries and branch exams, collaborate across teams, and contribute to policy, process, and training initiatives.