Senior Product Supervision Principal

This is a fully remote position, open to applicants in Arizona.

📋 Description

• Act as a subject matter expert on complex products for LPL Financial Professionals nationwide.

• Oversee the suitability of transactions related to life insurance and annuity products.

• Manage transactions involving structured products and alternative investments.

• Ensure that advisors comply with the supervision standards and requirements set forth by regulatory bodies and LPL Financial.

⛳️ Requirements

• Possession of FINRA Series 7, 66 (or 63 and 65), 9 and 10 (or Series 24).

• Bachelor's degree in Business, Accounting, Finance, or a related field.

• Minimum of 7 years of industry experience.

• Proficient knowledge of life insurance, mutual funds, annuities, general securities, alternative investments, and other financial products.

• Familiarity with FINRA, SEC, and State regulations and guidelines.

• Competence in Microsoft applications, especially Excel, Word, Access, PowerPoint, and Visio.

• Solid understanding of the financial services sector.

• Awareness of LPL Financial's rules, regulations, and policies.

• Exceptional customer service abilities.

🏝️ Benefits

• 401K matching.

• Health benefits.

• Employee stock options.

• Paid time off.

• Volunteer time off.

• Competitive LPL Total Rewards package.