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Supervisory Principal, Complex Products (Alternative Investments)

Job ID: R-001761 Date posted: 12/31/2017 Primary Location SC-Fort Mill Other Locations CA-San Diego

We are currently looking to hire a Supervisory Principal within the Complex Product Supervision (Alternative Investments) department, which is a part of LPL’s Compliance, Legal, and Risk (CLR) organization.

The Supervisory Principal is responsible for serving as an Alternative Investment, Structured Product, and Non-Traditional Exchange Traded Product subject matter expert for LPL Financial Advisors across the country. This position will be responsible for supervising transactions and ensuring that the assigned advisors and Offices of Supervisory Jurisdiction are meeting the standards and requirements of supervision set forth by regulatory agencies and the Firm.

Essential Functions:

  • Review transactions for suitability and documentation of Alternative Investments, Structured Products, and Non-Traditional Exchange Traded Products
  • 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 Alternative Investments, Structured Products, and Non-Traditional Exchange Traded Products
  • Assist with ad hoc project requests from CPS management


  • Undergraduate degree in Business, Accounting, Finance or related discipline
  • Series 7, 66 (or 63 and 65), 9 and 10 (or Series 24) required
  • 5+ year’s industry experience, preferably in a compliance supervisory capacity
  • Familiarity with Alternative Investments, Structured Products, and ETPs
  • Experience with all Microsoft applications, particularly, Excel, Word, Access, PowerPoint, and Visio. Familiarity with BETA a plus

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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