Senior Complex Product Supervision Principal

LPL Financial•Fort Mill, SC

10d•$74,057 - $123,497

About The Position

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. 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.

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

Nice To Haves

Strong collaborators who can deliver a world-class client experience.
Thrive in a fast-paced environment.
Client-focused.
Team oriented.
Able to execute in a way that encourages creativity and continuous improvement.

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.