Teams at LPL Financial

Lead development and execution of LPL's Premium Affiliation strategy, leveraging market analysis and data to define value proposition, drive cross-functional initiatives, enhance advisor experience, and support advisor acquisition, engagement, and retention. Coordinate stakeholders, manage project plans, and present strategic recommendations to senior leadership.

Manage and respond to regulatory examinations and inquiries (FINRA, SEC, state regulators, OCC affiliates), assess legal and reputational risk, negotiate with regulators, advise on regulatory developments, partner with business stakeholders to improve policies, mentor legal staff, and drive process improvements.

Lead product strategy and execution for enterprise electronic communications capture, archival, supervision, analytics, and AI-driven risk detection. Define roadmaps, prioritize backlog by risk and value, partner with stakeholders across Compliance, Cybersecurity, Technology and Data, and drive delivery through Agile teams to reduce off-channel communication and CARS risk.