Job Description

Lead with Purpose, Unlock Your Team’s Passion

At LPL, people leaders hold the key to the employee experience — shaping culture, driving performance, and guiding individuals to new heights. Because when that happens, we all win – clients, LPL, and most importantly our, employees.

If you're ready to lead with intention and discover what’s possible, LPL Financial invites you to apply today.

The Investment Products team within LPL’s Investment Management Solutions (IMS) group is responsible for delivering a highly competitive set of investment solutions across LPL’s brokerage and advisory platforms. This includes the platform and product offering, advisor/client access to solutions, and promotional activities. The team’s goal from an investment product management perspective is to enhance our advisors’ and their clients’ experience and ability to grow and to enhance our firm’s economic and risk profiles.

This role will be responsible for end-to-end product and offer management including sourcing, deal approvals, issuer onboarding, field enablement, content and collateral management, and strategic initiatives that improve client and advisor experiences and build strong transaction pipeline. This leader will drive continual platform enhancements to offer a robust fund menu across structured products and capital markets, and set the prioritization of our product pipeline in support of demand coming from our growing acquisitions. The VP will coordinate with other functional teams such as Fixed Income Trading, Legal, Risk, Compliance, Supervision, Marketing/Communication, Technology and sales/business development teams to collectively create great client outcomes.

• Lead product strategy efforts, including market analysis, opportunity framing, and platform and operating-model assessments, that inform decision making

• Onboard new indices or issuers by coordinating agreements, due diligence, internal approvals, system setup, and readiness across internal stakeholders. Lead initial and ongoing due diligence of these products, and continual evolution of the process. Advise when we need to discontinue offering products from specific issuers.

• Manage and mentor team who will help review structured note deals, their feasibility, optimal pricing and hedging strategies. Own day-to-day offer management activities, including oversight and fulfillment of key operating deliverables. Guide your team’s day-to-day execution of complex transactions.

• Act as a liaison between LPL, issuers, and advisor facing teams on matters pertaining to structured products and other capital markets business

• Support training and field enablement by building or curating content and improving how internal partners understand the offer and workflows

• Identify gaps in advisor experience and drive enhancements that improve competitiveness, scalability, and risk management

• Develop and maintain policies, procedures, supervision artifacts, controls, and process documentation to ensure the platform and offering operate within LPL’s policy, supervisory, and client-experience expectations

• Monitor platform health, operational issues, and emerging risks

• Partner across business lines including Fixed Income Trading, Supervision, Technology, Legal, Risk, Compliance, Marketing and Sales/Service teams

• Be an agent of change to influence – at both the industry and firm level – how we support new product innovation for structured product and capital markets business.

Responsibilities:

• Demonstrate a commitment to creating an environment in which the structured product and capital markets shelf is managed in a manner consistent with the firm's core values – namely putting the interests of our advisors and their clients first.

• Act as a subject matter expert for all aspects of LPL’s structured products and capital markets business.

• Lead a team responsible for building the product pipeline, completing due diligence and onboarding products.

• Partner with others in Investment Management Solutions to support departmental and firm-wide initiatives

• Lead thought leadership to enhance/evolve LPL approach to structured note and issuer diligence

• Partner with the firm’s Platform Compliance team to improve our approach to ongoing monitoring. Own the resolution of specific challenges with issuers.

• Track regulatory changes and industry / competitor developments in terms of product, pricing, policy and platform experience within the structured product space

• Provide expertise in the offerings and consult with Marketing and Communication team members on product attractiveness and change management

What are we looking for?

We’re looking for strong collaborators who deliver exceptional client experiences and thrive in fast-paced, team-oriented environments. Our ideal candidates pursue greatness, act with integrity, and are driven to help our clients succeed. We value those who embrace creativity, continuous improvement, and contribute to a culture where we win together and create and share joy in our work.

Requirements:

• Bachelor's degree with a minimum of 10 years of related experience in the financial services industry.

Core Competencies:

• Deep understanding of structured products, options and their trends and industry regulations

• Excellent quantitative and analytical skills

• Experience working with investment-oriented databases and analytical software including Bloomberg and Excel

• Investment Product management experience associated with evaluating dynamic decisions and contributing towards recommendations that enhance the product offering

• Ability to lead projects in a matrix managed fashion leveraging strong interpersonal and written communication skills

• FINRA Series 7/66 required.

Preferences:

• Series 24 preferred.

Pay Range:

$144,612.00 - $241,020.00

Actual base salary varies based on factors, including but not limited to, relevant skill, prior experience, education, base salary of internal peers, demonstrated performance, and geographic location. Additionally, LPL Total Rewards package is highly competitive, designed to support your success at work, at home, and at play – such as 401K matching, health benefits, employee stock options, paid time off, volunteer time off, and more. Your recruiter will be happy to discuss all that LPL has to offer!

LPL Financial Holdings Inc. (Nasdaq: LPLA) is among the fastest growing wealth management firms in the U.S. As a leader in the financial advisor-mediated marketplace(6) , 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 wide range of advisor affiliation models, investment solutions, fintech tools and practice management services, ensuring that advisors and institutions have the flexibility to choose the business model, services, and technology resources they need to run thriving businesses. For further information about LPL, please visit www.lpl.com.

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. They have the flexibility to do business their way. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors and institutions, so they can take care of their clients.

For further information about LPL, please visit www.lpl.com

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 @lplfinancial.com 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 (855) 575-6947.

EAC 5.19.26