Senior Complex Product Supervision Principal

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

Where Ambition Meets Innovation

Build a career that matches all your initiative with an impressive dose of innovation. From cutting‑edge resources and a collaborative environment to the freedom to make an impact and more, you’ll find the ingredients you need at LPL Financial to shape your success while helping clients pursue their financial goals.

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

$74,057.00 - $123,497.00

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.

• 401K matching


• Health benefits


• Employee stock options


• Paid time off


• Volunteer time off

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.

At LPL, independence means that advisors and institution leaders have the freedom they deserve to choose the business model, services, and technology resources that allow them to run a thriving business. 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.

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

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

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].

EAC 5.19.26