Principal, Document Management

What if you could build a career where ambition meets innovation? At LPL Financial, we empower professionals to shape their success while helping clients pursue their financial goals with confidence. What if you could have access to cutting-edge resources, a collaborative environment, and the freedom to make an impact? If you're ready to take the next step, discover what's possible with LPL Financial.

Job Overview:

The Technology Records & Document Management (RDM) Principal will be responsible for all aspects of records management including the oversight of electronic and physical document retention policies, procedures, systems, and controls to ensure compliance with legal and regulatory requirements as well as company policies. This role is accountable for overseeing day-to-day operations related to the RDM program. The individual in this position must have a deep understanding of information governance best practices and regulatory compliance. They will provide leadership, guidance, and support to business units on all matters relating to the management of information assets.

Responsibilities:

Strategic Leadership & Vision

• Define and drive the enterprise-wide strategy for records and document management platforms including Documentum, Captiva, and Intellistor.
• Lead the transformation of legacy document management systems into modern, scalable, and cloud-ready platforms.
• Establish long-term vision for retention policy management aligned with regulatory, legal, and business requirements

Enterprise Platform Ownership

• Own the full lifecycle of enterprise content management platforms, ensuring reliability, scalability, and compliance.
• Oversee platform architecture, integration, and performance optimization across business units.
• Ensure seamless interoperability with enterprise systems including ERP, CRM, and workflow automation tools.

Modernization & Cloud Adoption

• Spearhead cloud migration initiatives for document management platforms, leveraging AWS, Azure, or other cloud providers.
• Promote adoption of containerized, microservices-based architectures to enhance agility and reduce technical debt.
• Evaluate and implement SaaS or hybrid solutions to modernize document capture, storage, and retrieval processes.

Governance, Risk & Compliance

• Establish enterprise governance frameworks for document classification, retention, and access control.
• Ensure platforms meet internal audit, legal, and regulatory standards (e.g., SEC, FINRA, GDPR).
• Drive automation and intelligence in retention policy enforcement and lifecycle management.

Leadership & Stakeholder Engagement

• Lead and mentor a high-performing team of platform architects, engineers, and analysts.
• Collaborate with senior business leaders to align platform capabilities with strategic goals.
• Manage vendor relationships, contracts, and service-level agreements for platform technologies.

Innovation & Continuous Improvement

• Foster a culture of innovation and continuous improvement in enterprise content management.
• Stay ahead of industry trends in intelligent document processing, AI/ML-based classification, and digital records transformation.
• Drive KPIs and metrics to measure platform effectiveness, user adoption, and compliance.

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:

• 15+ years of experience in enterprise content/document management, with at least 5 years in a senior leadership role.
• Proven expertise in Documentum, Captiva, and Retention Policy Management.
• Demonstrated success in leading cloud migration and modernization of legacy platforms.
• Strong understanding of cloud platforms (AWS, Azure, GCP) and containerization technologies (Docker, Kubernetes).
• Experience with enterprise architecture, data governance, and compliance frameworks.
• Ability to translate complex business needs into scalable, secure, and compliant technical solutions.
• Exceptional leadership, communication, and stakeholder management skills.
• Ability to influence across all levels of the organization and drive cross-functional alignment.
• Experience managing large budgets, vendor contracts, and enterprise-level programs.

Preferences:

• Bachelor's or Master's degree in Computer Science, Information Systems, or related field.
• Certifications in cloud architecture, enterprise content management, or governance frameworks.
• Experience with Agile, DevOps, and digital transformation methodologies.

Pay Range:

$155,288-$258,813/yearActual 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

Company Overview:

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. LPL supports over 29,000 financial advisors and the wealth-management practices of 1,100 financial institution, servicing and custodying approximately $1.9 trillion in brokerage and advisory assets on behalf of approximately 7 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.

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

Join LPL Financial: Where Your Potential Meets Opportunity

At LPL Financial, we believe that everyone deserves objective financial guidance. As the nation's leading independent broker-dealer, we offer an integrated platform of cutting-edge technology, brokerage, and investment advisor services.

Why LPL?

• Innovative Environment: We foster creativity and growth, providing a supportive and responsive leadership team. Learn more about our leadership team here
• Limitless Career Potential: Your career at LPL has no limits, only amazing potential. Learn more about our careers here
• Unified Mission: We are one team on one mission—taking care of our advisors so they can take care of their clients. Learn more about our mission and values here
• Impactful Work: Our size is just right for you to make a real impact.
• Commitment to Equality: We support workplace equality and embrace diverse perspectives and backgrounds.
• Community Focus: We care for our communities and encourage our employees to do the same.
• Benefits and Total Rewards: Our Total Rewards package goes beyond just compensation and insurance. It includes a mix of traditional and unique benefits, perks, and resources designed to enhance your life both at work and at home.

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

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