Senior Supervision Principal, Complex Product

Job Overview :

Position is responsible for serving as life insurance / annuity subject matter expert for LPL Financial Professionals across the country.

This position will be responsible for supervising the appropriateness for transactions in life insurance / annuity products, ensuring advisors are meeting the standards and requirements of supervision set forth by regulatory agencies and the Firm.

Responsibilities :

Review and approval of transactions for suitability and documentation of variable, fixed indexed, and fixed annuities.

Research and review annuity liquidation transaction, free looks, and other transactional activity.

Serve on various committees and projects as determined by management.

Assist other functions within Business risk management as necessary to meet demand.

Act as key contact and subject matter expert for Financial Advisors, OSJ Supervisors, & Home Office Supervisors, and assist in any program / client issues in regard to life insurance, as well as variable, fixed indexed annuities or other complex products.

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

Assist with ad hoc project requests from management.

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 .

Requirements :

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

7+ years industry experience.

3+ years annuity suitability review experience.

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

Core Competencies :

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.

Ability to develop compliance systems and strategies for effective supervision.

Knowledge of life insurance, mutual funds, annuities, general securities, and other financial products required.

Knowledge of FINRA, SEC, and State rules and regulations

Experience with all Microsoft applications, particularly, Excel, Word, Access, PowerPoint, and Visio.

Preferences :

Familiarity with BETA a plus

LI-Hybrid #LI-Onsite #Hybrid #Onsite #FortMillSC #TempeAZ #FortMill #Tempe

Pay Range :

$71,900.00 - $119,900.00Actual 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!