Jobs at LPL Financial

Defines and executes enterprise data engineering and platform strategy. Designs scalable cloud data architectures supporting analytics, reporting, AI, and business intelligence; modernizes warehouses, lakes, and lakehouses; advances data mesh, governance, reliability, security, observability, ETL/ELT, automation, Infrastructure as Code, and CI/CD. Partners with architecture, security, infrastructure, product, and business stakeholders to deliver enterprise-scale data capabilities and apply AI-assisted engineering practices.

Supports the Client Reporting team by executing operational tasks, vendor file transmissions, data validation, reporting, UAT, and exception analysis for client statements and regulatory communications. The role also supports audits, improves processes, and strengthens risk oversight and operational efficiency. Success requires analytical problem-solving, Excel proficiency, effective prioritization, communication, and collaboration across internal and offshore teams.

Provides high-level administrative support to an EVP and leadership team, including calendar and inbox management, meeting and event coordination, heavy travel arrangements, expense processing, document preparation, communications, and confidential executive support. The role serves as a gatekeeper and resource for executives, coordinates logistics across time zones, and manages onsite support in Austin Monday through Thursday.

Leads advisor-focused cybersecurity support, incident response coordination, risk reduction, security awareness, and governance initiatives. The role handles complex cybersecurity inquiries, incident triage, remediation planning, training content, webinars, risk assessments, metrics analysis, operational documentation, and continuous improvement. It partners cross-functionally with cybersecurity, technology, compliance, legal, risk, and operations teams while mentoring junior staff and serving as a cybersecurity subject matter expert.

Lead product management for the ClientWorks advisor workstation platform. Responsibilities include researching user needs, defining near- and medium-term roadmaps, managing product development cycles, establishing success metrics, analyzing product performance, and collaborating cross-functionally to improve advisor and client experiences. The role also requires developing business cases, securing funding approval, presenting to senior leaders, and serving as a product subject matter expert.

Prospects financial advisors through cold calls, email, and LinkedIn to generate qualified leads for LPL’s advisor recruiting team. The role involves executing prospecting campaigns, qualifying leads, presenting opportunities to regional directors, tracking KPIs and funnel performance in Salesforce, and working toward promotion into internal regional director roles.

Design, develop, test, and support scalable full-stack applications and cloud-native microservices using .NET, Angular, AWS, SQL, and NoSQL technologies. Build APIs, data integrations, ETL pipelines, and CI/CD solutions while improving system performance, reliability, and scalability. Collaborate with product, architecture, and engineering teams, participate in design and code reviews, troubleshoot applications, document technical solutions, and apply modern DevOps and AI-assisted development practices.

Leads enterprise AI architecture across generative AI, agentic systems, RAG, AI control planes, governance, security, evaluation, deployment, and operations. Defines reference architectures, lifecycle standards, runtime controls, and production readiness gates while conducting technology evaluations and proofs of concept. Partners with product, engineering, security, risk, and compliance teams to deliver secure, observable, resilient, cost-aware AI solutions in a regulated financial services environment. Mentors architects and influences enterprise technology roadmaps.

Leads LPL Financial’s enterprise Compliance and Privacy programs across broker-dealer and registered investment adviser businesses. Sets strategy, oversees policies, monitoring, surveillance, testing, regulatory change, privacy governance, AML, fraud, branch examinations, investor protection, and conflicts management. Advises executives, boards, regulators, and governance bodies while enabling responsible innovation involving AI, data, and technology. Builds and leads a large multidisciplinary organization and manages regulatory examinations, remediation, and supervisory controls.

Provides high-volume technology and operational support to financial advisors, assistants, and internal partners. Handles inbound and outbound calls, processes and documents service requests, explains supported products and requirements, guides users through platforms and upgrades, and escalates issues when appropriate. Collaborates with cross-functional teams on enhancements, testing, escalations, and process changes while following company policies, operational guidelines, and regulatory requirements.

Manages enterprise Agile Release Trains and large-scale IT programs, coordinating project, technology, business, scrum, finance, and vendor teams. Oversees budgets, demand intake, risks, dependencies, governance, delivery standards, reporting, metrics, and escalations. Supports alignment with portfolio objectives, funding, capacity, and strategic outcomes while guiding project managers and scrum masters across Agile and Waterfall software development lifecycles.

Leads enterprise AI architecture across generative AI, agentic systems, RAG, control planes, governance, security, evaluation, deployment, and operations. Defines reusable reference architectures, lifecycle controls, runtime policies, observability, cost governance, and production-readiness standards. Partners with product, engineering, security, risk, and compliance teams; evaluates emerging models and frameworks; creates proofs of concept; mentors architects; and guides secure, resilient, compliant AI delivery in a regulated financial-services environment.

Provides high-touch executive and operational support to the CEO, including complex calendar and inbox management, domestic and international travel coordination, meeting preparation, Board and leadership activities, expense reconciliation, personal administrative support, and confidential stakeholder communications. Partners with another Executive Assistant to maintain coverage, document processes, anticipate needs, resolve issues, and protect the CEO’s time.

Executes IT internal audits, SOX control testing, process reviews, and ad hoc projects. Develops audit programs, working papers, and reports; assesses risks and control effectiveness across networks, operating systems, databases, and applications; collaborates with Technology personnel and communicates findings to management.

Supports LPL Financial’s strategic technology partnership ecosystem by managing vendor partnership processes, onboarding new partners, maintaining pipeline records, coordinating cross-functional initiatives, and tracking financial and adoption metrics. The role interfaces with advisors and vendors, researches fintech trends, supports strategic prioritization, and fosters relationships with startups, venture capital firms, and emerging technology communities.

Manage a large pipeline of prospective and existing strategic partners through evaluation, diligence, contracting, approval, onboarding, launch, and growth. Build relationships across internal teams and external executives, assess commercial and strategic value, develop business cases, support pricing and revenue-sharing discussions, resolve dependencies, and provide leadership with pipeline insights and recommendations.

Analyzes fraud risks, investigates suspicious activity, manages case documentation, coordinates transaction recovery, monitors fraud models, identifies anomalies, and supports regulatory compliance. The role partners with financial intelligence, risk, operations, and business teams to improve detection strategies, track trends, maintain policies, and deliver fraud prevention training.

Reviews internal referrals, customer transactions, sanctions and negative-news alerts to identify potential money laundering, fraud, and other financial crimes. Performs customer and enhanced due diligence, conducts initial investigations, assesses risk, creates cases, and collaborates with Compliance, Legal, Operations, Fraud, and Risk teams. Supports regulatory compliance and internal AML procedures.

Provides investment advice and financial guidance to mass affluent clients by phone, conducts portfolio reviews, executes transactions, prepares reports and proposals, resolves client and advisor issues, and identifies sales and asset-retention opportunities. The role operates in a team-based call center environment and requires securities licensing, financial services experience, strong customer service, and onsite availability.

Defines and executes enterprise AI strategy across trading, advisory, and wealth platforms. Leads generative AI, LLM, agentic AI, machine learning, platform modernization, data foundations, governance, and responsible AI practices. Establishes reusable AI capabilities, metrics, and operating models while influencing executives, boards, engineering, product, risk, compliance, and business stakeholders across a regulated financial-services environment.