Senior Complex Product Oversight Leader

LPL Financial LLC; Fort Mill (SC); 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 is seeking a Complex Product Supervision Principal to ensure compliant supervision of life insurance, annuities, and structured products for the advisor network. You will apply regulatory standards and firm policies to protect clients and uphold high service levels.

The role requires 7+ years in the industry, deep knowledge of FINRA/SEC rules, and collaboration across teams, including operations and compliance, to deliver a world-class client experience from Fort Mill, SC and

Qualifications

• Bachelor’s degree in Business, Accounting, Finance or related discipline.
• 7+ years industry experience.
• Knowledge of life insurance, mutual funds, annuities, general securities, and other financial products.
• Knowledge of FINRA, SEC, and State rules and regulations.
• Experience with Microsoft Office applications (Excel, Word, Access, PowerPoint, Visio).

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 the standards and requirements of supervision set forth by regulatory agencies and the Firm.

Skills

Customer Focus

Complex Problem Solving

Planning & Alignment

Time Management

Proactive Service & Consultation Mind

Risk Management

Collaboration

Innovation

Education

Undergraduate degree in Business, Accounting, Finance or related discipline

Tools

Excel

Word

Access

PowerPoint

Visio

Job description

LPL Financial is seeking a Complex Product Supervision Principal to ensure compliant supervision of life insurance, annuities, and structured products for the advisor network. You will apply regulatory standards and firm policies to protect clients and uphold high service levels.

The role requires 7+ years in the industry, deep knowledge of FINRA/SEC rules, and collaboration across teams, including operations and compliance, to deliver a world-class client experience from Fort Mill, SC and