Manager, CPS – Specialized Services Supervision

LPL Financial

. Administer Complex Product Supervisors overseeing trades in Alternative Investments, Structured Products, Non-traditional ETP, Offshore Products, and Cryptocurrency Related Products .

Posted 10/9/2026full-timeUnited StatesMid-LevelSenior💰 $81,267 - $135,445 per yearWebsite

Core Competencies

Role fit

Core Competencies

Use this summary to align your resume positioning with the role.

Demonstrates strong expertise in compliance and regulatory matters, particularly in Alternative Investments, Structured Products, Non-traditional ETP, Offshore Products, and Cryptocurrency Related Products. Proven ability to lead teams, develop policies, and implement risk mitigation strategies while maintaining effective communication across departments.

Highest-signal resume keywords

Series 7 CertificationSeries 66 CertificationCompliance and Regulatory ExperienceComplex Product KnowledgeMicrosoft Excel Proficiency

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Regulatory AnalysisPolicy DevelopmentRisk MitigationProject ManagementProcess Improvement

Soft Skills

LeadershipCommunicationOrganizational SkillsProblem SolvingTeam Development

Tools & Technologies

Microsoft WordMicrosoft AccessMicrosoft PowerPoint

Certifications & Qualifications

Series 24 CertificationSeries 63 CertificationSeries 65 Certification

Industry Keywords

Alternative InvestmentsStructured ProductsNon-traditional ETPOffshore ProductsCryptocurrency Products

About the role

Key responsibilities & impact

Administer Complex Product Supervisors overseeing trades in Alternative Investments, Structured Products, Non-traditional ETP, Offshore Products, and Cryptocurrency Related Products
Lead and develop a staff of subject matter experts
Coordinate and strategically execute Complex Product Supervision oversight functions
Hire, train, motivate, coach, support, and evaluate staff
Conduct staff, team, and one-on-one meetings; set goals and provide developmental opportunities
Handle escalations and maintain positive relationships with Advisors, OSJ Managers, and internal teams
Ensure staff adherence to service level agreements
Analyze rule changes, business model needs, risk mitigation approaches, and departmental requirements
Build or change processes and procedures, including implementation timelines and active supervision methods
Communicate project status and outlines to management; set project direction and maintain initiative vision
Lead special projects and collaborate with employees throughout the firm
Interpret federal and state regulations and develop and apply policies and procedures to mitigate risk
Serve as a key contact for Operations, Service Center, Legal, and Governance, Risk, and Compliance departments
Independently drive and execute projects
Identify regulatory issues and advise on regulatory requirements
Create and maintain internal policies and controls
Report policy, procedure, and control gaps to management and recommend corrective actions

Requirements

What you’ll need

Series 7, Series 66 or (63 and 65), Series 24 or (9 and 10) required
5-7 years’ experience in compliance and regulatory matters
Strong knowledge of complex products (Alternative Investments, Structured Products, Non-traditional ETP, Offshore Products, and Cryptocurrency Related Products)
Strong industry acumen
Ability to work with minimal supervision
Ability to multi-task, prioritize, problem solve, troubleshoot, and follow-up
Ability to define problem areas and analyze risk for LPL Financial
Ability to develop policy, procedure and controls to effectively supervise and mitigate risk
Ability to work well under competing deadlines
Strong organizational skills
Excellent oral and written communication skills
Strong knowledge of Microsoft applications, particularly Excel, Word, Access, and PowerPoint

Benefits

Comp & perks

401K matching
Health benefits
Employee stock options
Paid time off
Volunteer time off
Competitive LPL Total Rewards package