Top Tech Jobs & Startup Jobs

Lead and manage a team handling licensing, appointments, and registrations for advisors and firms. Ensure timely submissions (U4, U5, BD, BR), regulatory compliance with FINRA/SEC/state rules, develop workflows, audit records, collaborate with legal/compliance, report metrics, and deliver training on registration requirements.

Lead enterprise data architecture for cloud-native data platforms: define strategy, roadmaps, and standards; design lakehouse and multi-region architectures; drive data governance, metadata, lineage, security, and observability; mentor teams and partner with product, engineering, and security to deliver scalable, trusted data products and platforms.

Own day-to-day readiness, testing, and audit facilitation for SOX, SOC 1/2, CCPA/CPRA, and NYDFS compliance. Coordinate auditors and control owners, perform first-line ITGC testing, maintain control narratives and RCMs, drive remediation, and implement automation and continuous controls monitoring using GRC platforms and scripting/data tools.

Lead advisor transitions to LPL by consulting on business structure, creating transition strategies, delivering in-depth training on LPL technology, supporting repapering and account setup, tracking openings/funding, troubleshooting issues, and coordinating cross-functional teams to ensure a seamless move from prior broker-dealers.

Lead enterprise M&A data architecture and integration: perform technology due diligence, define target-state and integration roadmaps, drive cloud modernization, application/platform rationalization, data harmonization, governance, and large-scale program delivery to realize value from mergers and acquisitions.

Lead development and execution of LPL's outsourced wealth solution strategy for banks and credit unions. Drive policy, process, product, and onboarding improvements; establish and report program KPIs; partner with cross-functional teams to scale wealth programs; analyze industry trends and maintain business intelligence frameworks to inform strategy and client experience enhancements.

Technical lead for cloud-enabled advisor workstation development. Design, develop, and modernize AWS-based, cloud-native web applications and services using Angular, .NET, and SQL Server. Mentor developers, perform code reviews, troubleshoot production issues, collaborate with architects and stakeholders, produce SDLC documentation, and ensure solutions meet enterprise governance, scalability, performance, and reliability goals.

Lead and develop a phone-based team of licensed financial advisors serving banks and credit unions. Drive sales performance, coach advisors, manage workforce and SLAs, monitor metrics, run quarterly business reviews, partner with institutional leaders, and improve advisor productivity and client acquisition.

Drive financial advisor lead flow through phone-based prospecting, email and social outreach. Qualify leads, present prospects to regional directors, track KPIs in Salesforce, and support recruiter pipelines. Meet daily outreach targets and develop skills for advancement to Internal Regional Director.

Support advisors by designing, analyzing, and presenting comprehensive financial plans. Build advisor relationships, follow paraplanning standards, collaborate across teams, identify referral opportunities, and maintain knowledge of wealth planning offerings to drive client satisfaction and retention.