Lead, Complex Product Supervision & Compliance

LPL Financial Corp; Fort Mill (SC); On-site; USD 81,000 - 135,000; Full time

Benefits offered by this job

401K matching

Health benefits

Employee stock options

Paid time off

Job summary

LPL Financial is seeking a Supervision Manager of Complex Product Supervision: Specialized Services to lead a team overseeing trades in complex products including alternatives, offshore, and crypto-related instruments. You will drive risk-based supervision, develop policy, and coordinate cross‑functional projects to ensure regulatory compliance.

Join a team that collaborates with Advisors, OSJ Managers, and GRC to uphold high standards.

Qualifications

• Series 7, Series 66 or (63 and 65), Series 24 or (9 and 10) required
• 5-7 years’ experience in compliance and regulatory matters
• Strong knowledge of complex products (Alternative Investments, Structured Products, Non-traditional ETP, Offshore Products, and Cryptocurrency Related Products)
• Strong industry acumen, self-starter and the ability to work with minimal supervision
• Ability to multi-task, prioritize, problem solve, trouble shoot, and follow-up is essential in this role
• Ability to define problem areas and analyze risk for LPL Financial and develop policy, procedure and controls to effectively supervise and mitigate said risk
• Must work well under competing deadlines and possess strong organizational skills

Responsibilities

• Staff Management: Hire, train, motivate, coach, and evaluate staff; lead meetings and set goals.
• Service Management: Handle escalations and maintain positive relationships with Advisors and OSJ Managers.
• Production Management: Ensure SLA adherence; assess risk and adapt processes to regulatory changes.
• Lead special projects across the firm with cross‑functional collaboration.
• Analyze policies, controls, and regulations to mitigate risk and protect the firm.
• Communicate status and project direction to management and teams.

Skills

Staff management

Relationship building

Problem solving

Communication

Job description

LPL Financial is seeking a Supervision Manager of Complex Product Supervision: Specialized Services to lead a team overseeing trades in complex products including alternatives, offshore, and crypto-related instruments. You will drive risk-based supervision, develop policy, and coordinate cross‑functional projects to ensure regulatory compliance.

Join a team that collaborates with Advisors, OSJ Managers, and GRC to uphold high standards.