Senior Complex Product & Compliance Lead

LPL Financial; Tempe (AZ); On-site; USD 74,000 - 123,000; Full time

Benefits offered by this job

401K matching

Health benefits

Employee stock options

Paid time off

Volunteer time off

Job summary

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 32,000 financial advisors and the wealth management practices of approximately 1,100 financial institutions, servicing and custodying about $2.3 trillion in assets. Join us as Complex Product Supervision Principal to apply regulatory knowledge and ensure supervision of life insurance, annuities, and structured

Qualifications

• Knowledge of financial services regulations and firm policies.
• 7+ years industry experience.
• Knowledge of life insurance, annuities, and other financial products.
• FINRA/SEC rules and regulations knowledge.
• Proficiency with Microsoft Office applications.

Responsibilities

• Serves as a complex products subject matter expert for LPL Financial Professionals across the country.
• Supervises the appropriateness of transactions in life insurance/annuity products as well as structured products/alternative investments, ensuring advisors are meeting regulatory standards and Firm requirements.

Skills

FINRA licenses

Education

Undergraduate degree in Business, Accounting, Finance or related discipline

Tools

MS Office (Excel, Word, Access, PowerPoint, Visio)

Job description

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 32,000 financial advisors and the wealth management practices of approximately 1,100 financial institutions, servicing and custodying about $2.3 trillion in assets. Join us as Complex Product Supervision Principal to apply regulatory knowledge and ensure supervision of life insurance, annuities, and structured