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About the Role

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. This role strengthens the firm’s defenses regarding the capture, archival, retrieval, and supervision (CARS) of written electronic communication. The AVP will shape the future of LPL’s electronic communication control framework during the firm's digital transformation.

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.

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.
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.

Skills

eComm compliance
eComm supervision
Archive platforms
Supervision platforms
Proofpoint
Smarsh
Global Relay
Python
Relational databases
Alteryx
Power BI
AI tools
Cursor
Copilot
Off-channel communications
Self-hosted/journaling
Microsoft Teams
Slack
Social media
Text messaging
Product management
Product ownership
Technical leadership
Compliance
Supervision
Risk management
Operational efficiency
Cross-functional collaboration
Stakeholder management
Agile methodologies
User story creation
Backlog prioritization
UAT
KPI monitoring
Budgeting
Strategic planning

Location

Remote

Work Type

Full-time

Experience Level

Assistant Vice President
3-5+ years

Education Level

Professional certifications in area of focus such as CSPO/PSPO, SAFe PO/PM, PMP, CISA are desired.

Salary/Compensations

$109,283.00 - $182,104.00

Benefits

401K matching
Health benefits
Employee stock options
Paid time off
Volunteer time off

About the Company

LPL Financial Holdings Inc. (Nasdaq: LPLA) is among the fastest growing wealth management firms in the U.S.
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 flexible range of advisor affiliation models, investment solutions, fintech tools and practice management services.
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.
We take care of our advisors and institutions, so they can take care of their clients.

Equal Opportunity

Principals only. EEO.