Senior Complex Product Supervision Principal

LPL Financial; United States; Presencial; USD 74 000 - 123 000; Tempo integral

Vantagens oferecidas por esta oferta de emprego

401K matching

Health benefits

Employee stock options

Paid time off

Volunteer time off

Resumo da oferta

LPL Financial is seeking a Complex Product Supervision Principal to oversee complex products and ensure compliant supervisory practices across the country. The role requires strong knowledge of life insurance, annuities, and structured products, with robust regulatory awareness and client-focused service.

Qualified candidates hold FINRA licenses, a business/finance degree, and 7+ years in financial services. Proficiency in MS Office is essential for daily supervision and reporting tasks.

Qualificações

• Undergraduate degree in Business, Accounting, Finance or related field.
• 7+ years of industry experience in a financial services setting.
• Knowledge of life insurance, mutual funds, annuities and other products.

Responsabilidades

• Serves as a complex products subject matter expert for LPL Financial Professionals nationwide.
• Supervises transactions in life insurance/annuities and structured products to meet regulatory standards.

Conhecimentos

Regulatory knowledge

Client focus

Analytical skills

Communication

Team collaboration

Problem solving

Formação académica

Bachelor's in Business/Finance/Accounting

Ferramentas

Microsoft Excel

Microsoft Word

Microsoft Access

Microsoft PowerPoint

Microsoft Visio

Descrição da oferta de emprego

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.

Principals only.

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