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SVP, Fintech Partnerships and Investments

Job ID: R-016468 Date posted: 08/05/2021 Primary Location SC-Fort Mill Other Locations MA-Boston , CA-San Diego

The Wealth Management Solutions team is responsible for delivering a highly competitive set of 3rd party financial technology solutions. This includes leading the development of the strategy on integrations and partnerships with vendors; and also on potential M&A and venture capital opportunities. The team’s goal is to enhance our advisors’ and investors’ experience while helping to improve our firm’s economic and risk profiles.

The focus of the new Fintech Partnerships and Investments team and this role is to create and execute on the vision for how we connect with 3rd party technologies. This includes understanding industry trends, emerging technologies, and the evolving compliance and risk responsibilities to position LPL as an industry Fintech leader. This will also require building an exceptional team that consistently executes at a high level, and developing strong partnerships across the firm to achieve our strategic goals.


  • Work closely with sales, product, legal, compliance and operations to develop strategic roadmap and drive outcomes on our 3rd party technology strategy.
  • Identify and analyze related industry trends, and form product strategies targeted to compete in a rapidly changing landscape.
  • Build an industry leading fintech experience that will differentiate LPL and is flexible enough to serve the unique needs of individual advisors, investors and institutions.
  • Analysis of tech marketplace and ability to quickly develop insights on applicability to LPL.
  • Strategic evaluation of fintech M&A or investment opportunities.
  • Manage corporate venture capital arm in partnership with targeted VC’s.
  • Manage fintech related compliance and risk initiatives.
  • Oversee a small team dedicated to evolving the 3rd party technology strategy.
  • Maintain documentation of the processes related to 3rd party technology.
  • Manage 3rd party vendor relationships to ensure accurate and timely delivery of capabilities.
  • Employ operating metrics to track capacity, trends, risk management, and productivity. Develop management reporting tracking progress to goals, and plans to address business challenges.
  • Matrix manage across LPL.
  • Build strong partnerships within IIS, and across Technology, Compliance & Legal, and Service & Trading teams.
  • Provide consulting support to Sales, Business Consulting and Business Development to help advisors adopt technologies.


  • Bachelor’s degree required; CFA or MBA preferred.
  • 10+ years of experience preferred in financial technology, preferably with experience in wealth management, asset management, M&A, venture capital investments or a closely related business managing strategic or transformational change.
  • Practical knowledgeable on the fintech landscape, including familiarity with competitors, platform/ product trends and industry regulation and subject matter expertise of major workflow technologies
  • Industry credibility and a strong network within the fintech community.
  • Demonstrated leadership managing change across large and complex organizations.
  • Strong collaborator and consensus builder who drives change to achieve desired outcomes.
  • Experience building and communicating a strategy, defining and building out a roadmap, prioritizing projects according to business need and producing business models.
  • Commitment and self-motivation suitable to a start-up team in a large organization.
  • Executive presence and effective communicator with excellent written communication skills.
  • Management experience and a servant leadership mindset.

Why LPL? 

At LPL, we believe that objective financial guidance is a fundamental need for everyone. As the nation’s leading independent broker-dealer, we offer an integrated platform of proprietary technology, brokerage, and investment advisor services. We provide you with a work environment that encourages your creativity and growth, a leadership team that is supportive and responsive, and the opportunity to create a career that has no limits, only amazing potential.

We are one team on one mission. We take care of our advisors, so they can take care of their clients.

Because our company is not too big and not too small, you can seize the opportunity to make a real impact. We are committed to supporting workplace equality, and we embrace the different perspectives and backgrounds of our employees.We also care for our communities, and we encourage our employees to do the same. This creates an environment in which you can do your best work.

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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 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 (800) 877-7210.

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