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SVP, UMA Investment Implementation

Job ID: R-011975 Date posted: 12/28/2020 Primary Location CA-San Diego Other Locations SC-Fort Mill

The Wealth Management Solutions team is responsible for delivering a highly competitive set of centrally managed programs.  This includes the platform and product offering, pricing, advisor/client access to solutions, and promotional activities.  The team’s goal from an investment product management perspective is to enhance our advisors’ and investors’ experience while helping to improve our firm’s economic and risk profiles. 

The focus of the new UMA Investment Implementation team and this role is to form the vision for our centrally managed overlay services, build an exceptional team that consistently executes at a high level, and develop strong partnerships across the firm to achieve our strategic goals.


  • Develop and execute the strategic roadmap for overlay management designed with the purpose of evolving the UMA product offering.
    • Build an industry leading overlay product experience that delivers exceptional results, and is configurable to serve the unique needs of individual investors and institutions.
    • Identify and analyze related industry trends, and form product strategies targeted to compete in a rapidly changing landscape.
    • Create a set of premium overlay services that will differentiate the UMA offering in the market place
  • Oversee a small team dedicated to evolving the overlay management services.
    • Leverage industry best practices to optimize the overlay management structure and processes.
    • Define business requirements for all overlay management processes, and premium services.
    • Maintain documentation of the processes related to overlay management.
  • Manage portfolio rebalancing vendor relationship to ensure accurate and timely delivery of enhancements.
  • 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
    • Work closely with the centrally managed operations and trading desks to form an integrated and unified operating experience.
    • 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 centrally managed and recruit new clients.


  • Bachelor’s degree required; CFA or MBA preferred.
  • 15+ years of experience managing investment platforms; trading and overlay for fee based investment programs preferred.
  • Expert in building centralized trading operations designed to serve multiple distribution channels.
  • Experience developing overlay services designed to serve UMA investors; familiarity portfolio transition management techniques, income distribution, advanced tax management strategies.
  • Proven experience innovating scalable, efficient trading and portfolio rebalancing processes.
  • Demonstrated leadership managing change across large and complex organizations
  • Strong collaborator and consensus builder who drives change to achieve desired outcomes.
  • Knowledgeable on the advisory landscape, specifically UMAs and future state platforms including familiarity with competition (broker-dealers, TAMPs, etc.), platform/ product trends and industry regulation.
  • Experience with Agile Product Management principals preferred.
  • Ability to communicate effectively at all levels of management.
  • Strong PowerPoint and presentation skills required.

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.

Want to hear from our employees on what it’s like to work at LPL?  Watch this!

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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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