Complex Product/Central Supervision Manager

7 hours ago


Fort Mill, South Carolina, United States LPL Financial Holdings, Inc. Full time
Job Title: Complex Product/Central Supervision Manager

LPL Financial Holdings, Inc. is seeking a highly skilled and experienced Complex Product/Central Supervision Manager to join our team. As a key member of our Supervision organization, you will be responsible for overseeing the administration of Complex Product and Central Supervision Supervisors, ensuring compliance with regulatory requirements and mitigating risk.

Key Responsibilities:
  • Lead and develop a team of subject matter experts in Complex Product and Central Supervision.
  • Coordinate and execute oversight functions, including risk-based sales practice items and non-electronic correspondence.
  • Develop and implement policies, procedures, and controls to effectively supervise and mitigate risk.
  • Collaborate with employees at all levels to drive business growth and improve processes.
  • Analyze and interpret regulatory requirements, developing and applying policies and procedures to mitigate risk.
Requirements:
  • Undergraduate degree in Business, Accounting, Finance, or related discipline.
  • Series 7, 9, and 10 (or Series 24), Series 66 (or S63 and S65) licenses.
  • 5-7 years' experience in compliance and regulatory matters.
What We Offer:

LPL Financial Holdings, Inc. offers a competitive compensation package, including a base salary range of $78,000 to $131,500, depending on experience. We also offer a comprehensive benefits package, including health insurance, 401(k) matching, and employee stock options. Our company culture values diversity, equality, and community involvement, providing a supportive and inclusive work environment.

At LPL Financial Holdings, Inc., we believe in empowering our employees to make a real impact. We take social responsibility seriously, and our employees are encouraged to contribute to our community outreach initiatives. If you are a motivated and experienced professional looking for a challenging and rewarding role, we encourage you to apply.



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