Senior Complex Product Supervision Principal

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

Job Overview

Complex Product Supervision Principal will have an understanding of the financial services industry; rules, regulations, and policies of LPL Financial and our various regulatory bodies; and excellent customer service skills.

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.

What are we looking for?

We want strong collaborators who can deliver a world-class client experience. We are looking for people who thrive in a fast-paced environment, are client-focused, team oriented, and are able to execute in a way that encourages creativity and continuous improvement.

Requirements

• FINRA Series 7, 66 (or 63 and 65), 9 and 10 (or Series 24)
• Undergraduate degree in Business, Accounting, Finance or related discipline
• 7+ years industry experience
• Knowledge of life insurance, mutual funds, annuities, general securities, alternative investments, and other financial products
• Knowledge of FINRA, SEC, and State rules and regulations
• Experience with all Microsoft applications, particularly, Excel, Word, Access, PowerPoint, and Visio

Core Competencies

• Customer Focus
• Complex Problem Solving
• Planning & Alignment
• Time Management & Organization
• Proactive Service & Consultation Mindset
• Risk Management
• Collaboration
• Innovation

Pay Range

Pay Range: $74,057.00 - $123,497.00

Salary Variation

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.

Benefits

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.

The firm provides a wide range of advisor affiliation models, investment solutions, fintech tools and practice management services, ensuring that advisors and institutions have the flexibility to choose the business model, services, and technology resources they need to run thriving businesses.

For further information about LPL, please visit www.lpl.com.

For further information about LPL, please visit www.lpl.com.

Information on Interviews

LPL will only communicate with a job applicant directly from an @lplfinancial.com email address and will never conduct an interview online or in a chatroom forum. During an interview, LPL will not request any form of payment from the applicant, or information regarding an applicant’s bank or credit card. Should you have any questions regarding the application process, please contact LPL’s Human Resources Solutions Center at [phone].

EOE.