Senior Manager, Complex Product Oversight & Compliance

LPL Financial LLC; Fort Mill (SC, FL); On-site; USD 81,000 - 135,000; Full time

Job summary

LPL Financial LLC in Fort Mill, SC seeks a Supervision Manager of Complex Product Supervision: Specialized Services. This full-time role leads a staff focused on oversight of trades in Alternative Investments, Structured Products, Non-traditional ETP, Offshore and Crypto-related products for advisors and OSJ managers.

You will steer risk assessment, policy development, and compliance with evolving regulations while coaching a team to deliver quality service and regulatory adherence across the

Qualifications

• Series 7, Series 66 or (63 and 65), Series 24 or (9 and 10) required.
• 5-7 years’ experience in compliance and regulatory matters.
• Strong knowledge of complex products (Alternative Investments, Structured Products, Non-traditional ETP, Offshore Products, and Cryptocurrency Related Products).
• Strong industry acumen, self-starter and the ability to work with minimal supervision.
• Ability to multi-task, prioritize, problem solve, trouble shoot, and follow-up is essential in this role.
• Ability to define problem areas and analyze risk for LPL Financial and develop policy, procedure and controls to effectively supervise and mitigate said risk.

Responsibilities

• Staff management: hiring, training, and motivating staff; coaching and evaluations.
• Service management: handle escalations and maintain relationships with Advisors and OSJ Managers.
• Production management: ensure staff adheres to service level agreements and analyze risk related to regulatory changes.
• Strategize on approach to build or change current processes, requirements, timeline, and supervision.
• Interpret rule requirements and communicate status and project direction to management.
• Lead special projects and collaborate across departments to drive initiatives.
• Analyze current or proposed policies, controls and required rules.
• Interpret and apply federal and state regulations to mitigate risk and protect the firm.

Skills

Regulatory compliance

Risk analysis

Project management

Multi-tasking

Communication

Tools

Series 7

Series 66 / 63+65

Series 24 / 9+10

Job description

LPL Financial LLC in Fort Mill, SC seeks a Supervision Manager of Complex Product Supervision: Specialized Services. This full-time role leads a staff focused on oversight of trades in Alternative Investments, Structured Products, Non-traditional ETP, Offshore and Crypto-related products for advisors and OSJ managers.

You will steer risk assessment, policy development, and compliance with evolving regulations while coaching a team to deliver quality service and regulatory adherence across the