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Mgr, Supervision

Job ID: R-002143 Date posted: 01/26/2018 Primary Location CA-San Diego

The Compliance Manager of Complex Product Supervision is responsible for the administration of Complex Product Supervisors engaged in the oversight of trades in Annuity Products for LPL Financial Advisors and OSJ Managers.

The Complex Products Manager will be responsible for leading and developing a staff of subject matter experts, in addition to coordinating and strategically executing the oversight functions of Complex Product Supervision.

This position will also include responsibility for leading special projects as defined by the management team and collaborating with employees at all levels throughout the firm.

Essential Functions:

  • Staff Management - Responsible for hiring, training, and motivating staff. The Manager will provide ongoing support, coaching, feedback and developmental opportunities to address staff needs in order to engage them and help them be more effective and successful. The Manager will conduct staff meetings, team meetings, and one on one meetings in addition to goal setting and conducting employee evaluations, criteria’s which include quality control and oversight.
  • Service Management – Must handle escalations and maintain positive relationships with Advisors, OSJ Managers and internally throughout the firm.
  • Production Management – Must ensure staff adheres to service level agreements. Must also analyze, coordinate and define risk for LPL in the scope of impending rule changes, business model needs, risk based mitigation approaches that may yield changes to functions, and departmental requirements. Strategize on approach to build or change current processes / procedures, including resources needed, requirements with which to comply, timeline for implementation, and ways with which to actively supervise these processes. Understand and interpret rule requirements and the impact of their changes, and understand the business needs of LPL, our advisors, and other departments. Must be able to communicate status and project outline to management and set the specific direction of a project, lead, and maintain an overall vision of the initiative/project
  • Analysis of current/proposed policies, controls and required rules. Must possess the ability to interpret federal and state regulations and develop and apply certain policies and procedures within the scope of the current regulatory environment in an attempt to mitigate risk and protect the firm

Other Job Duties:

  • Interact appropriately and confidently with Senior Management.
  • Prioritize tasks and project management
  • Serve as a key contact for internal departments, such as Operations, Service Center, Legal and various departments across Governance, Risk, and Compliance (GRC).
  • Anticipate the needs of LPL Financial and the GRC organization in order to be able to define next steps with projects and other functions and be able to independently drive/execute projects.
  • Identify specific regulatory issues, the application of regulatory requirements, and provision of advice on these rules and create and maintain internal policies, controls, etc.
  • Identify and report significant gaps in policy, procedure and controls to management, while offering corrective actions for consideration and implementation.


  • Undergraduate degree in Business, Accounting, Finance, or related discipline
  • Series 7, 66 (or 63 and 65), 24 (or 9 and 10) required
  • Series 4 and 53 a plus
  • 5-7 years’ experience in compliance and regulatory matters
  • Prior leadership/team management experience preferred
  • Strong knowledge of complex products (Annuities)
  • 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 are 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
  • Must work well under competing deadlines and possess strong organizational skills
  • Excellent oral and written communication skills
  • Strong knowledge in all Microsoft applications, particularly, Excel, Word, Access, and PowerPoint

    Our Company:

    LPL Financial, the nation’s largest independent broker/dealer since 1996* and the fourth largest broker/dealer overall, serves as an enabling partner to more than 14,000 independent financial advisors and approximately 700 financial institutions. Since its formation decades ago, LPL has focused on one primary mission -- enabling independent financial advisors to bring objective and un-biased financial advice to millions of Americans. 

    Headquartered in Boston, San Diego, and Fort Mill, and powered by more than 3,300 client-centric employees, LPL is financially strong and growing.

    Our Culture:

    If you join LPL, you will join a culture that believes in delivering a world-class client experience and looks to all employees to contribute to that goal by sharing their creativity, experience, and passion for continuous improvement. As a destination of choice, our top priorities are growth and development, social responsibility, and financial health for our employees. 

    We offer competitive compensation and industry leading benefits, including a wellness facility with onsite fitness classes, healthy meal choices, and a walk-in clinic. We support employee financial health through a 401k match, ESPP, and employee discounts. Work/life balance is our foundation and is supported through paid holidays, and paid time off (including time to volunteer). We foster a diverse work environment through Employee Resource Groups and diverse strategic partnerships.  

    Join the LPL team and help us make a difference by turning life’s aspirations into financial realities. Please login or create an account to apply to this position. Principals only. EOE

    *As reported by Financial Planning magazine, June 1996-2017, based on total revenue.

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