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Supervisory Principal, Complex Product Supervision

Job ID: R-007813 Date posted: 10/02/2019 Primary Location SC-Fort Mill Other Locations CA-San Diego

Position is responsible for serving as a annuity subject matter expert for LPL Financial Advisors across the country(Variable and Fixed Indexed annuities). This position will be responsible for supervising the suitability for transactions in annuity products ensuring that the assigned advisors are meeting the standards and requirements of supervision set forth by regulatory agencies and the Firm.

Essential Functions:

1.  Review and approval of transactions for suitability and documentation of variable annuities.

      90 %

2.   Serve on various committees and projects as determined by CSU Management.

      10 %

Other Job Duties

1. Act as key contact and subject matter expert for Financial Advisors, OSJ Supervisors, & Home Office Supervisors, and assist in any program/client issues in regards to variable and fixed indexed annuities.

2. Assist with regulatory exams and requests as well as assist with the maintenance of the department’s written supervisory procedures.

3. Assist with ad hoc project requests from CPS management

Job Requirements:

  • Undergraduate degree in Business, Accounting, Finance or related discipline.
  • 4+ years industry experience
  • Series 7, 66 (or 63 and 65), 9 and 10 (or Series 24 & 53) required.
  • All Microsoft applications, particularly, Excel, Word, Access, PowerPoint, and Visio. Familiarity with BETA a plus
  • Interact with Executive Management, all levels of GRC staff and various departments across the Firm

List any Soft Skills required for the position: (Communication, Multi-Tasking, etc.)

  • Ability to work in a fast paced/high volume environment and be flexible with work schedule
  • Ability to multi-task, strong attention to detail, excellent problem-solving and follow-up skills are essential for this position
  • Excellent oral and written communication skills
  • Ability to make regulatory and supervisory-based decisions will be necessary to complete the day-to-day functions of the role
  • Proactive collaboration and service-based responses with business partners on escalated issues and concerns is essential
  • Excellent management, and human relations skills
  • Ability to develop compliance systems and strategies for effective supervision
  • Knowledge of mutual funds, annuities, general securities, and other financial products required
  • Knowledge of FINRA,  SEC, and State rules and regulations

All hiring decisions are contingent on ability to be licensed in all 50 states based on the broad geographic of the clients.

About LPL Financial:

LPL Financial is a leader in the retail financial advice market and the nation’s largest independent broker/dealer*. We serve independent financial advisors and financial institutions, providing them with the technology, research, clearing and compliance services, and practice management programs they need to create and grow thriving practices. LPL enables them to provide objective guidance to millions of American families seeking wealth management, retirement planning, financial planning and asset management solutions. LPL and its affiliates have more than 3,700 employees with primary offices in Boston, Charlotte, and San Diego.

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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Area(s) of InterestChoose at least one job category and/or location.

  • Compliance, San Diego, California, United StatesRemove
  • Compliance, Fort Mill, South Carolina, United StatesRemove
  • Finance, San Diego, California, United StatesRemove
  • Finance, Fort Mill, South Carolina, United StatesRemove