Manager, Complex Products
LPL Financial Services - Charlotte, NC

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Our Manager of Complex Product Supervision will be responsible for overseeing a team of 7 – 10 Complex Product Supervisors and/or Analysts. The Complex Product Supervisors/Analysts are responsible for oversight of transactions in Alternative Investments, Structured Products and Exchange Traded Products. This position will be responsible for ensuring that Complex Product Supervision is meeting the standards and requirements of supervision set forth by regulatory agencies and the Firm. This is a very hands-on, people manager intensive role that requires thorough industry knowledge and a very strong background in direct staff management.

Specific responsibilities include:
  • Managing a team who perform daily supervision of transactions in Alternative Investments, Structured Products and Exchange Traded Products
  • Conducting regular, ongoing, thorough Quality Control reviews of the work performed by the Complex Product Supervisors/Analysts. Reviews must be documented in writing and be conducted in accordance with established procedures.
  • Researching and responding to internal and regulatory inquiries and examinations.
  • Handling escalations from staff with regards to policy exception requests, declined business, etc.
  • Interaction with management team within Governance Risk and Compliance as well as various key departments across the Firm to maintain communication and consistency to ensure initiatives and
    objectives are being met.

Other Job Duties:
  • Serve as a go-to resource for Senior Management, peers and advisors.
  • Conduct regular performance reviews for staff and provide ongoing coaching/mentoring.
  • Some travel may be required to conduct branch office visits and attend regulatory and Firm conferences as needed.
  • Perform other duties as assigned.

  • Education: Bachelor's degree in business related field required, advanced degree a
  • Minimum Experience Required: 5+ years industry experience and 2+ years Management experience
  • Licenses/Certifications: Series 7, 24, 63 and 65 (or 66) required. Series 3, 4, 27, and/or 53 a plus. Life and Health Insurance
    License a plus
  • All Microsoft applications, particularly, Excel, Word, Access, PowerPoint, and Visio. Familiarity with BETA a plus
  • Ability to work in a fast paced/high volume
    environment and be flexible with work schedule
  • Candidate should be comfortable reading and nterpreting prospectuses, state specific requirements, regulatory materials
    and other technical details of complex products
  • Ability to multi-task, strong attention to detail, excellent problem-solving/critical thinking and follow-up skills are essential for this position
  • Excellent oral and written communication skills and creative problem solving
  • Ability to independently make regulatory and
    supervisory-based decisions will be necessary to complete the day-to-day
    functions of the role and for staff support.
  • Proactive collaboration and service-based responses with business partners on escalated issues and concerns is essential

We offer a competitive salary and benefits package. Please login or create an account to apply to this position. Principals only. EOE

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