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Complex Product Supervision Principal at LPL Financial - ApplyBlast

Complex Product Supervision Principal

LPL Financial

23 days ago

3.5 on Glassdoor

Tempe, Arizona, United States

Onsite

Full Time

Senior

0 applicants

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About this role

The Complex Product Supervision Principal serves as a subject matter expert for LPL Financial Professionals, supervising the appropriateness of transactions in life insurance, annuities, and alternative investments. This role ensures advisors meet regulatory standards and firm requirements while delivering a world-class client experience in a fast-paced environment. The position requires strong collaboration, complex problem-solving skills, and a proactive service mindset to support the firm's innovation and continuous improvement goals.

Responsibilities

Supervise appropriateness of transactions in life insurance and annuity products
Serve as complex products subject matter expert for financial professionals
Ensure advisors meet regulatory standards and firm supervision requirements

Skills

Qualifications

FINRA Series 7FINRA Series 66FINRA Series 63FINRA Series 65FINRA Series 9 and 10

About LPL Financial

lpl.com

Headquarters

San Diego, California, United States

Company Size

5001-10000 employees

Founded

1989

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A leading wealth management firm for independent advisors across the U.S., LPL’s technology and resources can help you and your clients succeed. Learn more.