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Supervisory Principal, Complex Product Oversight

2 months ago

Knoxville, Tennessee, United States LPL Financial Full time

Senior Compliance Officer, Complex Products

LPL Financial is seeking a Senior Compliance Officer to oversee complex product supervision. The ideal candidate will be responsible for front-line supervisory tasks, reporting sales practice concerns, and serving as a Subject Matter Expert for complex products and business models.

Key Responsibilities:

  • Review securities transactions for suitability and compliance
  • Monitor account-level alerts using electronic supervisory tools
  • Approve account documentation and correspondence
  • Analyze transaction activity for sales practice concerns
  • Collaborate with business partners to resolve concerns
  • Supervise activity within various business models

Requirements:

  • Undergraduate degree in a related field
  • 3+ years of industry experience in compliance
  • Required Licenses: Series 7, 66 (or 63 and 65), 9 and 10 (or Series 24 and 53)

Core Competencies:

  • Identify potential concerns within a team environment
  • Provide consultative support to clients
  • Awareness of investigations and risks
  • Knowledge of financial products and regulations
  • Ability to work in a fast-paced environment
  • Attention to detail and problem-solving skills
  • Excellent communication skills
  • Make regulatory decisions
  • Collaborate with business partners
  • Develop compliance systems

Preferred Qualifications:

  • Experience working in a financial services firm
  • Knowledge of financial regulations and compliance
  • Strong analytical and problem-solving skills