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VP, Brokerage Processing Solutions - Business Owner

Job ID: R-023937 Date posted: 07/29/2022 Primary Location SC-Fort Mill Other Locations TX-Austin , KS-Overland Park , CO-Remote ,FL-Remote

Are you passionate about delivering solutions to LPL’s financial advisors?

Are you results-oriented, agile-minded, and can work in a team or independently? Do you like thinking outside the box, learning new skills and problem solving? If so, LPL Financial is the place for you!

LPL Financial (Nasdaq: LPLA) was founded on the principle that the firm should work for the advisor, and not the other way around. Today, LPL is a leader* in the markets we serve, supporting more than 18,000 financial advisors, 800 institution-based investment programs and 450 independent RIA firms nationwide. We are steadfast in our commitment to the advisor-centered model and the belief that Americans deserve access to personalized guidance from a financial advisor. At LPL, independence means that advisors have the freedom they deserve to choose the business model, services, and technology resources that allow them to run their perfect practice. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors, so they can take care of their clients.

Job Overview:

LPL Financial is seeking an experienced Business Owner to be responsible for the Strategy, Maintenance and Execution/Implementation of platforms and practices to support the suite of brokerage processing solutions for Operations.

This position will report directly to the SVP of Street Side Operations and will actively partner with teams inside and outside of operations to manage existing functionality and drive delivery of new capabilities. This individual will have a key coordinating role in analyzing the backlogs of solution opportunities across Operations and their priority on behalf of the business. This individual will have a key role in defining processes to support the operational implementation of brokerage processing solutions including, but not limited to: Refinitv BPS optimization, Promontory/Intrafi Sweeps technical support and Corporate Actions vendor solutions optimization.   This individual will also have an important role as liaison with product management, Business Reinvention and Technology to ensure execution of the Brokerage Processing Solutions strategy in support of Operations and CARE objectives and key results.


  • Provide expertise for assessing and developing agile backlogs and process optimizations.
  • Thought leadership on the selection and implementation of innovative wealth management tools and platforms. 
  • Management of and negotiation with vendors on solutions and requirements in development of industry leading cash management clearing platform.
  • Assess Risks and understand controls needed within Operational functions to maximize use of existing resources while ensuring we are properly staffed to meet advisor and client needs.
  • Understand the needs and complexities of advisors and their clients as it pertains to an ever changing wealth management space.
  • Own prioritization of value items within the backlog on behalf of the SVP/EVP of Operations for the purposes of forwarding the objectives and key results. 
  • Align with Risk teams to ensure proper design and testing of business continuity plans.
  • Collaborate with Operations leaders to optimize organizational structures including spans and layers.
  • Lead small team of specialized technical associates as needed.

What are we looking for?

We want strong collaborators who can deliver a world-class client experience. We are looking for people who thrive in a fast-paced environment, are client-focused, team oriented, and are able to execute in a way that encourages creativity and continuous improvement.


  • Experience serving as liaison between IT and business functional areas
  • Experience as a liaison between product, compliance and operations
  • Experience with business systems analysis or business process design experience or a combination of both
  • Minimum of 7 year’s professional experience in financial services in several disciplines (operations, regulatory, internal audit, or compliance)

Core Competencies:

  • Adaptable and highly self-motivated in pursuing intelligent automation and emerging technologies.
  • Solid experience in presentation and excellent verbal/written communications.
  • Solution oriented, synthesizing and analytical skills.
  • Excellent collaboration skills, ability to achieve results through vendors, and team members, proficient organizational skills, demonstrated passion for execution excellence and agility.
  • Strong execution ability and a sense of urgency.
  • Executive presence and ability to simplify complex concepts for consumption by senior business leaders.
  • Ability to effectively interact with the full spectrum of disciplines necessary through the development lifecycle (i.e. Business Process Design, Analysis, Functional / Technical Design, Development, Architecture)
  • Change Agent, able to define the future state and implement change as necessary
  • Proven ability as a structured, logical thinker
  • Creative, flexible and an experienced practitioner; with a growth mindset and superior collaboration skills.


  • All Microsoft applications, particularly, VISIO, WORD, ACCESS, PowerPoint and Excel
  • Bachelor’s degree in Accounting, Finance, or Economics from an accredited University or College or equivalent industry experience.
  • Preferred experience :  Lean, Six Sigma Green or Black Belt, Design Thinking, or Agile-Scrum Methodology
  • Preferred experience:  Knowledge of Clearing/Back Office systems, Cash
  • Business acumen in wealth management or related fields is highly desirable.

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!

We take social responsibility seriously. Learn more here

Want to see info on our benefits?  Learn more here

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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