Principal, Document Management & Cloud Transformation

LPL Financial • Charlotte, TX

2d • Hybrid

About The Position

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.

Requirements

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

Nice To Haves

• 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.

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.

Benefits

• 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.

What This Job Offers

• Job Type: Full-time
• Career Level: Principal
• Number of Employees: 5,001-10,000 employees