Senior Product Supervision Principal

🔥 12 hours ago

🌵 Arizona – Remote

🌵 Arizona – Remote

💵 $74.1k - $123.5k / year

⏰ Full Time

🟠 Senior

🦅 H1B Visa Sponsor

This company has sponsored H1B visas in the past.

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LPL Financial

WebsiteLinkedInAll Job Openings

5001 - 10000 employees

Founded LPL Financial

💼 Consulting

🛡️ Insurance

💸 Finance

Consulting • Insurance • Finance

LPL Financial is a leading provider of wealth management services, supporting financial professionals, institutions, and individual investors. With a comprehensive suite of tools and resources, LPL Financial enables advisors to build their businesses and provide personalized financial advice. They offer a wealth management platform, consulting services, technology integration, investment research, and support for both organic and inorganic growth for businesses and advisors. LPL Financial also focuses on sustainable investing and social responsibility while maintaining robust regulatory oversight.

📋 Description

• Serve as a complex products subject matter expert for LPL Financial Professionals across the country • Supervise the appropriateness of transactions in life insurance and annuity products • Supervise transactions involving structured products and alternative investments • Ensure advisors meet supervision standards and requirements established by regulatory agencies and LPL Financial

🎯 Requirements

• FINRA Series 7, 66 (or 63 and 65), 9 and 10 (or Series 24) • Undergraduate degree in Business, Accounting, Finance or related discipline • 7+ years industry experience • Knowledge of life insurance, mutual funds, annuities, general securities, alternative investments, and other financial products • Knowledge of FINRA, SEC, and State rules and regulations • Experience with Microsoft applications, particularly Excel, Word, Access, PowerPoint, and Visio • Understanding of the financial services industry • Knowledge of LPL Financial rules, regulations, and policies • Excellent customer service skills

🏖️ Benefits

• 401K matching • Health benefits • Employee stock options • Paid time off • Volunteer time off • Competitive LPL Total Rewards package