Are you a team player? Are you curious to learn? Are you interested in working in meaningful projects? Do you want to work with cutting-edge technology? Are you interested in being part of a team that is working to transform and do things differently? If so, LPL Financial is the place for you!

Excited to learn more? If so, then this could be the role for you!

LPL Financial (Nasdaq: LPLA) was founded on the principle that the firm should work for the advisor, and not the other way around. Today, LPL is a leader* in the markets we serve, supporting more than 22,000 financial advisors, 1,100 institution-based investment programs, and 500 independent RIA firms nationwide. We are steadfast in our commitment to the advisor-centered model and the belief that Americans deserve access to personalized guidance from a financial advisor. At LPL, independence means that advisors have the freedom they deserve to choose the business model, services, and technology resources that allow them to run their perfect practice. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors, so they can take care of their clients.

Job Overview:

The Senior Supervisory Principal, as part of the Complex Product Supervision within our Compliance, Legal and Risk division, will be responsible for serving as a subject matter expert for LPL Financial Advisors across the country.

This position will be responsible for supervising the appropriateness of transactions in structured products/alternative investments as well as life insurance/annuity products, ensuring advisors are meeting the standards and requirements of supervision set forth by regulatory agencies and the Firm. The Senior Supervisory Principal will also be responsible for leading junior staff and providing project support.

Responsibilities:

• Suitability review and approval of transactions in certain product specific areas such as alternative investments, structured products, exchange traded products and others as needed.

• Become a subject matter expert and liaison with vendors and wholesalers

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

• Project management, planning and Issue resolution - This role will be relied upon to handle sometimes complex issues and aggressive deadlines

• Leading investigations of questionable sales activity and work with a Senior Analyst or Manager on resolution

• Keeping up to date with company and industry regulations; ability to interpret firm policies and procedures and incorporate into daily processes

• Routinely interacts within a team environment to identify potential sales practice concerns, initiate escalations, and consult on problematic clients or branches

• Provide awareness across all BRM departments of any investigations, escalations, or emerging risks involving advisors and OSJs

Requirements:

• Undergraduate degree in Business, Accounting, Finance, or related discipline.

• 5+ years industry experience.

• 2+ years of experience in structured products and alternative investments.

• Required Licenses: Series 7, 66 (OR 63 AND 65), 9 AND 10 (OR Series 24).

Core Competencies:

• Strong understanding of complex products (i.e. alternative investments, annuities, structured products, cryptocurrency)

• 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 and for staff support in their role as Branch Office Manager

• Strong mentoring skills

• 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

Preferences:

• Life and Health Insurance License a plus

• Experience with all Microsoft applications, particularly, Excel, Word, Access, PowerPoint, and Visio and familiarity with BETA a plus

• #LI-Onsite #LI-Hybrid

• What are we looking for?

  We want strong collaborators who 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.

Pay Range:

$71,900.00 - $119,900.00

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!

Why LPL?

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.

Want to hear from our employees on what it’s like to work at LPL? Watch this!

We take social responsibility seriously. Learn more here

Want to see info on our benefits? Learn more here

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 @lplfinancial.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 (855) 575-6947.