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VP, IIS Product Manager Account Opening

Job ID: R-002669 Date posted: 04/09/2018 Primary Location SC-Fort Mill Other Locations CA-San Diego

The Investor and Investment Solutions (IIS) organization is expanding its product management team and currently hiring a product leader to drive the management and execution of our Account Opening process.  The ideal candidate will have knowledge of our competitive landscape, understand the needs of our advisors and be comfortable driving outcomes across broad cross functional teams.

The Account Opening product leader is responsible for representing the perspective of our advisors during the opening of new LPL investment accounts and the transfer of funds into or out of accounts. Their primary responsibility is to ensure that LPL’s new account opening and maintenance experience is efficient and compliant while minimizing the friction required to open and fund an account.

Candidates for this role must have experience and knowledge in account opening and maintenance for Brokerage, Advisory, and SMA accounts. An understanding of the competitive landscape including awareness of the changes in account types in response to regulation and changing business models is key. This role will be required to leverage their knowledge and insights to work with our advisors and deliver the technology and workflows that enable them to grow their AUM by easily onboarding new accounts. Collaboration with internal business partners will be critical to ensure that these capabilities are delivered in a manner that delights our clients, maximizes our business objectives, and meets all regulatory requirements.

Essential Functions:

  • Leads the creation and maintenance of the product roadmap and portfolio across all New Account and Transfer products
  • Ability to lead a diverse group of cross-functional teams in a process-driven manner to ensure continuous improvements in all areas. These plans must be informed by changes in the financial services industry including evolving business models, regulatory changes, and market conditions.
  • Drive insights and practical recommendations from feedback from advisors, internal stakeholders and key partners across the enterprise
  • Provide executive level updates, improvement recommendations and enable the development of new growth opportunities


  • Bachelor’s degree in a related field; MBA or other advanced degree preferred
  • Working knowledge of nationwide regulations related to account opening including OFAC, CIP, and electronic signature
  • Working knowledge of ACAT for transfer of assets between accounts
  • 5+ years of experience in product management related roles with a broker dealer, RIA, investment or financial services firm
  • Strong leadership and team change management experience
  • The ability to work in a cross-functional team without direct reporting lines
  • Effective communication skills, both written and oral, with ability to present materials to the highest levels in the organization and serves as the recognized subject matter expert
  • Demonstrated ability to interact and influence senior leaders
  • Ability to create a strategy/plan that articulates that incorporates a business’s vision
  • Strong analytical skills with demonstrated ability to evaluate business opportunities and evaluate results against established objectives
  • Actively anticipates, identifies and manages risks within position scope and at the company
  • Expert consensus builder who drives change across initiatives within and outside direct accountability and evaluates solutions to the most complex business challenges

About LPL Financial:

LPL Financial is a leader in the retail financial advice market and the nation’s largest independent broker/dealer*. We serve independent financial advisors and financial institutions, providing them with the technology, research, clearing and compliance services, and practice management programs they need to create and grow thriving practices. LPL enables them to provide objective guidance to millions of American families seeking wealth management, retirement planning, financial planning and asset management solutions. LPL and its affiliates have more than 3,700 employees with primary offices in Boston, Charlotte, and San Diego.

Our Culture:

If you join LPL, you will join a culture that believes in delivering a world-class client experience and looks to all employees to contribute to that goal by sharing their creativity, experience, and passion for continuous improvement. As a destination of choice, our top priorities are growth and development, social responsibility, and financial health for our employees. 

We offer competitive compensation and industry leading benefits, including a wellness facility with onsite fitness classes, healthy meal choices, and a walk-in clinic. We support employee financial health through a 401k match, ESPP, and employee discounts. Work/life balance is our foundation and is supported through paid holidays, and paid time off (including time to volunteer). We foster a diverse work environment through Employee Resource Groups and diverse strategic partnerships.  

Join the LPL team and help us make a difference by turning life’s aspirations into financial realities. Please login or create an account to apply to this position. Principals only. EOE

*As reported by Financial Planning magazine, June 1996-2017, based on total revenue.

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