VP, Structured Products and Capital Markets – Head of Origination

Job Overview

This role will be responsible for end-to-end product and offer management including sourcing, deal approvals, issuer onboarding, field enablement, content and collateral management, and strategic initiatives that improve client and advisor experiences and build strong transaction pipeline.

The VP will coordinate with other functional teams such as Fixed Income Trading, Legal, Risk, Compliance, Supervision, Marketing/Communication, Technology and sales/business development teams to collectively create great client outcomes.

Responsibilities

• Lead product strategy efforts, including market analysis, opportunity framing, and platform and operating-model assessments, that inform decision making
• Onboard new indices or issuers by coordinating agreements, due diligence, internal approvals, system setup, and readiness across internal stakeholders
• Lead initial and ongoing due diligence of these products, and continual evolution of the process
• Advise when we need to discontinue offering products from specific issuers
• Manage and mentor team who will help review structured note deals, their feasibility, optimal pricing and hedging strategies
• Own day-to-day offer management activities, including oversight and fulfillment of key operating deliverables
• Guide your team’s day-to-day execution of complex transactions
• Act as a liaison between LPL, issuers, and advisor facing teams on matters pertaining to structured products and other capital markets business
• Support training and field enablement by building or curating content and improving how internal partners understand the offer and workflows
• Identify gaps in advisor experience and drive enhancements that improve competitiveness, scalability, and risk management
• Develop and maintain policies, procedures, supervision artifacts, controls, and process documentation to ensure the platform and offering operate within LPL’s policy, supervisory, and client-experience expectations
• Monitor platform health, operational issues, and emerging risks
• Partner across business lines including Fixed Income Trading, Supervision, Technology, Legal, Risk, Compliance, Marketing and Sales/Service teams
• Be an agent of change to influence – at both the industry and firm level – how we support new product innovation for structured product and capital markets business

Requirements

• Bachelor's degree with a minimum of 10 years of related experience in the financial services industry
• Core Competencies: Deep understanding of structured products, options and their trends and industry regulations, Excellent quantitative and analytical skills, Experience working with investment-oriented databases and analytical software including Bloomberg and Excel, Investment Product management experience associated with evaluating dynamic decisions and contributing towards recommendations that enhance the product offering, Ability to lead projects in a matrix managed fashion leveraging strong interpersonal and written communication skills, FINRA Series 7/66 required. Series 24 preferred

Pay Range

$144,612.00 - $241,020.00

Company Overview

LPL Financial Holdings Inc. (Nasdaq: LPLA) is among the fastest growing wealth management firms in the U.S. As a leader in the financial advisor-mediated marketplace(6), LPL supports over 32,000 financial advisors and the wealth management practices of approximately 1,100 financial institutions, servicing and custodying approximately $2.3 trillion in brokerage and advisory assets on behalf of approximately 8 million Americans. The firm provides a wide range of advisor affiliation models, investment solutions, fintech tools and practice management services, ensuring that advisors and institutions have the flexibility to choose the business model, services, and technology resources they need to run thriving businesses.