Manager, CPS: Specialized Services Supervision

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

Job summary

LPL Financial LLC in Fort Mill, SC seeks a Supervision Manager of Complex Product Supervision: Specialized Services. This full-time role leads a staff focused on oversight of trades in Alternative Investments, Structured Products, Non-traditional ETP, Offshore and Crypto-related products for advisors and OSJ managers.

You will steer risk assessment, policy development, and compliance with evolving regulations while coaching a team to deliver quality service and regulatory adherence across the

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.

Responsibilities

• Staff management: hiring, training, and motivating staff; coaching and evaluations.
• Service management: handle escalations and maintain relationships with Advisors and OSJ Managers.
• Production management: ensure staff adheres to service level agreements and analyze risk related to regulatory changes.
• Strategize on approach to build or change current processes, requirements, timeline, and supervision.
• Interpret rule requirements and communicate status and project direction to management.
• Lead special projects and collaborate across departments to drive initiatives.
• Analyze current or proposed policies, controls and required rules.
• Interpret and apply federal and state regulations to mitigate risk and protect the firm.

Skills

Regulatory compliance

Risk analysis

Project management

Multi-tasking

Communication

Tools

Series 7

Series 66 / 63+65

Series 24 / 9+10

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 Supervision Manager of Complex Product Supervision: Specialized Services is a full-time position within LPL’s Client Success organization. This position is responsible for the administration of Complex Product Supervisors engaged in the oversight of trades in Alternative Investments, Structured Products, Non-traditional ETP, Offshore Products, and Cryptocurrency Related Products for LPL Financial Advisors and OSJ Managers. The Complex Products Specialized Services Manager will be responsible for leading and developing a staff of subject matter experts, in addition to coordinating and strategically executing the oversight functions of Complex Product Supervision.

Responsibilities

• Staff Management - Responsible for hiring, training, and motivating staff. The Manager will provide ongoing support, coaching, feedback and developmental opportunities to address staff needs in order to engage them and help them be more effective and successful. The Manager will conduct staff meetings, team meetings, and one on one meetings in addition to goal setting and conducting employee evaluations, criteria’s which include quality control and oversight.
• Service Management – Must handle escalations and maintain positive relationships with Advisors, OSJ Managers, and internal relationships throughout the firm.
• Production Management – Must ensure staff adheres to service level agreements. Must also analyze, coordinate, and define risk for LPL in the scope of impending rule changes, business model needs, risk-based mitigation approaches that may yield changes to functions, and departmental requirements.
• Strategize on approach to build or change current processes / procedures, including resources needed, requirements with which to comply, timeline for implementation, and ways with which to actively supervise these processes.
• Understand and interpret rule requirements and the impact of their changes, and understand the business needs of LPL, our advisors, and other departments.
• Must be able to communicate status and project outline to management and set the specific direction of a project, lead, and maintain an overall vision of the initiative/project.
• The position will also include responsibility for leading special projects as defined by the management team and collaborating with employees at all levels throughout the firm.
• Analysis of current/proposed policies, controls and required rules.
• Must possess the ability to interpret federal and state regulations and develop and apply certain policies and procedures within the scope of the current regulatory environment in an attempt to mitigate risk and protect the firm.
• Interact appropriately and confidently with Senior Management.
• Prioritize tasks and project management.
• Serve as a key contact for internal departments, such as Operations, Service Center, Legal and various departments across Governance, Risk, and Compliance (GRC).
• Anticipate the needs of LPL Financial and the GRC organization in order to be able to define next steps with projects and other functions and be able to independently drive/execute projects.
• Identify specific regulatory issues, the application of regulatory requirements, and provision of advice on these rules and create and maintain internal policies, controls, etc.
• Identify and report significant gaps in policy, procedure and controls to management, while offering corrective actions for consideration and implementation.

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

• 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

Core Competencies

• Excellent oral and written communication skills
• Strong knowledge in all Microsoft applications, particularly, Excel, Word, Access, and PowerPoint

Pay Range: $81,267.00 - $135,445.00 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.

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(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.

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 they need to run thriving businesses.

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.

Join the LPL team and help us make a difference by turning life’s aspirations into financial realities.

EOE.

EAC 5.19.26 LPL Financial is the nation’s largest independent broker-dealer.* Our company is widely known for its financial strength, exceptional service, and favorable industry reputation among financial professionals.

To understand who we are, it’s important to know our core belief: financial guidance is a fundamental need for everyone. LPL Financial creates the space to let you do what you do best – create personal, long-term client relationships that turn financial aspirations into realities.

Each year, thousands of financial professionals successfully manage billions of dollars in assets. Because our company is not too big and not too small, you can seize the opportunity to make a real impact.

To learn more about our organization visit our About LPL page.

* As reported by Financial Planning magazine, June 1996-2019, based on total revenue.

Want to learn more about the benefits of working at LPL?

We Are LPL Benefits Culture Social Responsibility