Where Ambition Meets Innovation Build a career that matches all your initiative with an impressive dose of innovation. From cutting-edge resources and a collaborative environment to the freedom to make an impact and more, you'll find the ingredients you need at LPL Financial to shape your success while helping clients pursue their financial goals.
Job Overview:
LPL Financial is seeking an Assistant Vice President, Product Owner to provide strategic leadership across a portfolio of electronic communications (eComm) compliance products, capabilities, and enterprise initiatives that strengthen the firm's defenses with respect to capture, archival, retrieval, and supervision (CARS) of written electronic communication. This AVP will play a pivotal role in shaping the future of LPL's electronic communication control framework as the firm continues its digital transformation and modernization journey. This leader will serve as the strategic bridge between business and technology teams, guiding long‐term product vision while ensuring delivery of high‐value, scalable eComm compliance solutions. The AVP, Product Owner maximizes the value of eComm CARS technology investments by defining clear outcomes, prioritizing initiatives based on risk and business impact, and championing best‐in‐class capabilities across the enterprise. Working in close partnership with the Product Manager and senior stakeholders across eComm Compliance, Cybersecurity, Product, Technology, and the business, this role will be accountable for maintaining and improving the overall health of LPL's end-to-end eComm ecosystem. The ideal candidate brings strong product leadership, deep domain expertise in electronic communications technologies, including email, text messaging, social media, and instant messaging, a strong familiarity with eComm archival and supervision platforms, and in-depth knowledge of system monitoring and problem resolution. This AVP will oversee the evolution of eComm archival and supervision capabilities, system monitoring and problem resolution, analytics, AI-driven capabilities, and risk-focused methodologies to protect the firm from off-channel communication and CARS risk. The role requires forward-thinking leadership, analytical strength, a strong technical aptitude, and a passion for developing scalable methodologies to support and improve overall system health. We are looking for collaborative leaders who thrive in dynamic environments, influence without authority, minimize eComm CARS risk, and increase operational efficiency.
Responsibilities:
Establish and maintain the strategic vision for eComm CARS system monitoring and problem resolution frameworks in partnership with stakeholders across the firm.
Lead end‐to‐end product lifecycle strategy, from ideation through execution, ensuring alignment with enterprise objectives.
Partner with the Product Manager to define multi‐year roadmaps, key capabilities, and investments needed to modernize LPL's eComm compliance ecosystem.
Break down strategic initiatives into actionable epics and user stories, prioritizing the backlog based on risk, enterprise value, operational impact, and technical dependencies.
Serve as the primary voice of the product for business leaders, ensuring clarity, alignment, and consistent communication of priorities, progress, risks, and decisions.
Drive cross‐organizational collaboration across eComm Compliance, Supervision Technology, and other partners, ensuring seamless execution of complex initiatives.
Monitor eComm compliance systems to identify gaps in CARS compliance and prioritize technology advancements to influence optimal system health.
Perform problem resolution and troubleshooting of reported issues, in partnership with technology teams. Act as a system administrator for the CARS platforms, supporting required ad hoc configuration changes as needed.
Partner with business stakeholders to perform UAT to validate delivered functionality, ensuring product increments meet business and risk‐mitigation objectives.
Support the creation and execution of a retention management framework, ensuring that data is appropriately dispositioned within the regulatory guidelines.
Advocate for technical enablers and platform enhancements necessary to support the long‐term health of the eComm platform.
Monitor product KPIs and reporting, including message volumes, issue detection, AI efficacy and production support metrics.
Contribute to annual planning, budgeting, and prioritization of technology and operational improvements.
Strengthen relationships across senior stakeholders and ensure transparency into product priorities, dependencies, and outcomes.
Coordinate and track interdependent eComm initiatives across the enterprise to ensure alignment and cohesive risk‐mitigation strategy.
What are we looking for?
We're looking for strong collaborators who deliver exceptional client experiences and thrive in fast-paced, team-oriented environments. Our ideal candidates pursue greatness, act with integrity, and are driven to help our clients succeed. We value those who embrace creativity, continuous improvement, and contribute to a culture where we win together and create and share joy in our work.
Requirements:
3-5+ years of experience in a product manager, product owner, technical lead, or compliance/supervision SME role within the eComm compliance/supervision space.3-5+ years of experience supporting and managing archive and supervision platforms, including Proofpoint, Smarsh, and Global Relay. Proficiency with Python, relational databases, Alteryx, Power BI, and AI tools such as Cursor and Copilot.
Competencies:
Understanding of eComm platforms and underlying risks, including off-channel communications, self-hosted/journaling, collaboration platforms such as Microsoft Teams and Slack, social media, text messaging, and off-channel messaging avoidance/detection.
Technical acumen, with the curiosity and confidence to explore complex concepts in depth.
Ability to lead in high‐stakes, fast‐moving environments involving real‐time risk and operational dependencies.
Demonstrated success influencing senior leaders and driving outcomes across cross‐functional teams without direct authority.
Communication skills, with the ability to translate complex concepts into clear business and technical requirements.
Analytical mindset and the ability to assess tradeoffs among cost, performance, risk, and timeline.
Proven ability to transform business strategies into scalable product capabilities.
Preferences: Professional certifications in area of focus such as CSPO/PSPO, SAFe PO/PM, PMP, CISA are desired.
Pay Range:
$109,283.00 - $182,104.00 Actual base salary varies based on factors, including but not limited to, relevant skill, prior experience, education, base salary of internal peers, demonstrated performance, and geographic location. Additionally, LPL Total Rewards package is highly competitive, designed to support your success at work, at home, and at play – such as 401K matching, health benefits, employee stock options, paid time off, volunteer time off, and more. Your recruiter will be happy to discuss all that LPL has to offer!
Company Overview:
LPL Financial Holdings Inc. (Nasdaq: LPLA) is among the fastest growing wealth management firms in the U.S. As a leader in the financial advisor-mediated marketplace(6), LPL supports over 32,000 financial advisors and the wealth management practices of approximately 1,100 financial institutions, servicing and custodying approximately $2.3 trillion in brokerage and advisory assets on behalf of approximately 8 million Americans. The firm provides a wide range of advisor affiliation models, investment solutions, fintech tools and practice management services, ensuring that advisors and institutions have the flexibility to choose the business model, services, and technology resources they need to run thriving businesses. For further information about LPL, please visit www.lpl.com.At LPL, independence means that advisors and institution leaders have the freedom they deserve to choose the business model, services, and technology resources that allow them to run a thriving business. They have the flexibility to do business their way. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors and institutions, so they can take care of their clients. For further information about LPL, please visit .Join the LPL team and help us make a difference by turning life's aspirations into financial realities. Please log in or create an account to apply to this position. Principals only. EOE.Information on Interviews: LPL will only communicate with a job applicant directly from an @lplfinancial.com email address and will never conduct an interview online or in a chatroom forum. During an interview, LPL will not request any form of payment from the applicant, or information regarding an applicant's bank or credit card. Should you have any questions regarding the application process, please contact LPL's Human Resources Solutions Center at (855) 575-6947.EAC 5.19.26
Summary
Location: Fort Mill/Charlotte; New York; San Diego; Boston; Austin TX; Tempe
Type: Full time
