Be an early applicantLess than 25 applicants

Company

LPL Financial · 6 days ago

Senior Supervisory Principal

Remote Florida

Full-time

Remote

Mid, Senior Level

$72K/yr - $120K/yr

7+ years exp

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FinanceFinancial Services

H1B Sponsor Likely

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Responsibilities

Review and approval of transactions for suitability and documentation of fixed and variable life insurance as core role, with an opportunity to supervise other products including variable, fixed indexed, and fixed annuities as well as structured products/alternative investments.

Serve on various committees and projects as determined by management

Assist other functions within Business risk management as necessary to meet demand

Act as key contact and subject matter expert for Financial Advisors, OSJ Supervisors, & Home Office Supervisors, and assist in any program/client issues regarding life insurance, as well as variable, fixed indexed annuities or other complex products

Assist with regulatory exams and requests as well as assist with the maintenance of the department’s written supervisory procedures

Assist with ad hoc project requests from management

Qualification

Find out how your skills align with this job's requirements. If anything seems off, you can easily click on the tags to select or unselect skills to reflect your actual expertise.

Series 7Series 66Variable Life InsuranceAnnuitiesAlternative InvestmentsMutual FundsGeneral SecuritiesMicrosoft ExcelMicrosoft WordMicrosoft AccessMicrosoft PowerPointCompliance Systems Development

Required

Undergraduate degree in Business, Accounting, Finance or related discipline

7+ years industry experience

Licenses/Certifications Required: Series 7, 66 (or 63 and 65), 9 and 10 (or Series 24 & 53) required

Experience with reviewing variable life insurance

Knowledge mutual funds, annuities, general securities, alternative investments, and other financial products required

Experience with all Microsoft applications, particularly, Excel, Word, Access, PowerPoint

Visibility to work in a fast-paced/high-volume environment and be flexible with the work schedule

Ability to multi-task, strong attention to detail, excellent problem-solving and follow-up skills are essential for this position

Excellent oral and written communication skills

Ability to make regulatory and supervisory-based decisions will be necessary to complete the day-to-day functions of the role

Proactive collaboration and service-based responses with business partners on escalated issues and concerns is essential

Ability to develop compliance systems and strategies for effective supervision

Benefits

401K matching

Health benefits

Employee stock options

Paid time off

Volunteer time off

Company

LPL Financial

Glassdoor

3.9

LPL Financial is an independent broker-dealer.

Founded in 1968

Boston, Massachusetts, USA

5001-10000 employees

https://www.lpl.com

H1B Sponsorship

LPL Financial has a track record of offering H1B sponsorships. Please note that this does not guarantee sponsorship for this specific role. Below presents additional info for your reference. (Data Powered by US Department of Labor)

Distribution of Different Job Fields Receiving Sponsorship

Represents job field similar to this job

Trends of Total Sponsorships

2023 (103)

2022 (108)

2021 (91)

2020 (42)