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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.

Manage day-to-day operations for the Wealth Advisor Group, lead and develop a team of operations specialists, resolve escalations, improve processes, create training materials, and partner with leadership to meet departmental goals while ensuring compliance and excellent client service.

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 the enterprise Kong API platform, API modernization, and migration strategy. Oversees platform engineering teams responsible for API gateways, developer portals, security, observability, reliability, and cloud-native services. Drives DevSecOps, CI/CD, infrastructure automation, SRE, governance, and developer self-service. Partners with architecture, security, infrastructure, product, and application teams on technology strategy, compliance, and enterprise transformation while managing engineering leaders and distributed teams.

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.

Provides executive administrative support to an EVP and leadership team by managing calendars, meetings, inboxes, correspondence, files, travel, expenses, events, and client engagement logistics. Coordinates materials, schedules, conference rooms, communications, and follow-up while acting as a gatekeeper and anticipating executive needs. The role requires exceptional organization, confidentiality, communication, multitasking, and collaboration in a fast-paced environment.

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.

Lead the CIS/Institutional segment to strengthen institutional partnerships, drive AUM and revenue growth, retain assets, and deliver new programs. Coach and manage CIS sales and relationship managers, partner with sales and acquisition teams on strategy, analyze performance metrics, ensure program adoption and compliance, and oversee talent management and escalation resolution.