Senior Complex Product Supervision Principal

LPL Financial Holdings, Inc. • $74K — $123K *
Tempe, AZ 85281In-Person
Finance & Insurance
5 - 7 years of experience
Job Overview by Ladders

Qualifications

  • FINRA Series 7, 66 (or 63 and 65), 9 and 10 (or Series 24) required
  • Undergraduate degree in Business, Accounting, Finance, or related field
  • 7+ years of experience in the financial services industry
  • In-depth knowledge of life insurance, mutual funds, annuities, and alternative investments
  • Familiarity with FINRA, SEC, and State regulations
  • Proficient in Microsoft applications, especially Excel, Word, Access, PowerPoint, and Visio

Responsibilities

  • Act as a subject matter expert on complex products for LPL Financial Professionals nationwide
  • Oversee transaction appropriateness in life insurance, annuities, and alternative investments
  • Ensure compliance with regulatory standards and firm requirements
  • Provide guidance to advisors on best practices in product supervision
  • Collaborate with teams to enhance client service and operational efficiency

Benefits

  • 401K matching
  • Comprehensive health benefits
  • Employee stock options
  • Paid time off
  • Volunteer time off
  • Supportive work-life balance initiatives
Full Job Description
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 collaboratorswho 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. Your recruiter will be happy to discuss all that LPL has to offer!

About LPL Financial Holdings, Inc.

LPL Financial Holdings, Inc. Careers

Joining LPL Financial Holdings, Inc. presents an unparalleled opportunity to become part of a leading team of professionals in the financial services industry. The company is renowned for its commitment to innovation, leadership, and professional growth, making it an ideal workplace for ambitious individuals looking to advance their careers.

Explore Job Opportunities

LPL Financial Holdings, Inc. offers a variety of job opportunities that cater to a range of skills and interests. From entry-level positions to senior leadership roles, each job opening provides a platform for personal and professional development. Candidates can expect a rigorous interview process that ensures each team member is not only a fit for the position but also aligns with the company's culture of excellence and integrity.

Internship Programs

For those starting their career journey, LPL Financial Holdings, Inc. provides robust internship programs designed to offer real-world experience in the financial sector. Internships are a cornerstone of the company's commitment to nurturing young talent, providing a foundation of knowledge and skills that are crucial for future employment in the industry.

Commitment to Diversity and Inclusion

Diversity and inclusion are at the heart of LPL Financial Holdings, Inc. The company believes in empowering all employees through diversity training and leadership opportunities that promote an inclusive workplace. This approach not only enhances team collaboration but also drives innovation and creativity.

Benefits and Culture

LPL Financial Holdings, Inc. is dedicated to supporting its employees with comprehensive benefits designed to promote a healthy work-life balance. Benefits include competitive health care options, retirement plans, and wellness programs. The company culture is built on a foundation of mutual respect and teamwork, encouraging networking and professional development across all levels of the organization.

Professional Growth and Development

Employees at LPL Financial Holdings, Inc. are encouraged to continuously enhance their professional skills and advance their careers within the company. Leadership development programs and continuous learning opportunities are readily available, allowing individuals to achieve their career goals and contribute effectively to their teams.

Join the LPL Financial Holdings, Inc. Team

LPL Financial Holdings, Inc. is actively hiring and looking for passionate, creative, and solution-driven team players. Explore open positions that match your skills and interests on the LPL Financial Holdings, Inc. careers page. Each position offers a chance to be part of a dynamic team that is instrumental in shaping the future of financial services.

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