Manager, CPS: Specialized Services Supervision
Core
Lead and develop a staff of subject matter experts to oversee trades in Alternative Investments, Structured Products, Non-traditional ETP, Offshore Products, and Cryptocurrency Related Products for LPL Financial Advisors and OSJ Managers.
Role type
Senior manager of complex product supervision
Builds
Oversight functions and risk mitigation strategies for complex financial products
Domain
Financial services / Wealth management / Regulatory compliance
Required skills
Staff management, regulatory interpretation, risk analysis, policy development, project management, stakeholder communication, process improvement, compliance monitoring, strategic planning, team coaching
Preferred skills
None stated
Technologies
Microsoft Excel, Microsoft Word, Microsoft Access, Microsoft PowerPoint
Responsibilities
Hire, train, and coach staff; manage escalations with Advisors and OSJ Managers; ensure adherence to service level agreements; analyze and define risk for impending rule changes; develop and apply policies to mitigate regulatory risk; lead special projects; identify and report gaps in controls; interpret federal and state regulations.
Seniority
Senior, hands-on IC with team leadership