Senior Complex Product Supervision Principal

LPL Financial•Charlotte, NC

About The Position

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. The 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.

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.