Supervisory Principal, Complex ProductsApply Job ID: R-014659 Date posted: 05/04/2021 Primary Location CA-San Diego Other Locations CA-Remote
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.
- 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
The Compliance, Legal & Risk (CLR) team is focused on delivering an industry-leading client service and risk management experience by providing advisors and our internal business partners with proactive guidance, advice, advocacy and consultative partnerships.
At LPL, we believe that objective financial guidance is a fundamental need for everyone. As the nation’s leading independent broker-dealer, we offer an integrated platform of proprietary technology, brokerage, and investment advisor services. We provide you with a work environment that encourages your creativity and growth, a leadership team that is supportive and responsive, and the opportunity to create a career that has no limits, only amazing potential.
We are one team on one mission. We take care of our advisors, so they can take care of their clients.
Because our company is not too big and not too small, you can seize the opportunity to make a real impact. We are committed to supporting workplace equality, and we embrace the different perspectives and backgrounds of our employees.We also care for our communities, and we encourage our employees to do the same. This creates an environment in which you can do your best work.
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Join the LPL team and help us make a difference by turning life’s aspirations into financial realities. Please log in or create an account to apply to this position. Principals only. EOE.
Information on Interviews:
LPL will only communicate with a job applicant directly from an @lpl.com email address and will never conduct an interview online or in a chatroom forum. During an interview, LPL will not request any form of payment from the applicant, or information regarding an applicant’s bank or credit card. Should you have any questions regarding the application process, please contact LPL’s Human Resources Solutions Center at (800) 877-7210.