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

• Demonstrate a commitment to creating an environment in which the structured product and capital markets shelf is managed in a manner consistent with the firm's core values – namely putting the interests of our advisors and their clients first.
• Act as a subject matter expert for all aspects of LPL’s structured products and capital markets business.
• Lead a team responsible for building the product pipeline, completing due diligence and onboarding products.
• Partner with others in Investment Management Solutions to support departmental and firm-wide initiatives.
• Lead thought leadership to enhance/evolve LPL approach to structured note and issuer diligence.
• Partner with the firm’s Platform Compliance team to improve our approach to ongoing monitoring.
• Own the resolution of specific challenges with issuers.
• Track regulatory changes and industry / competitor developments in terms of product, pricing, policy and platform experience within the structured product space.
• Provide expertise in the offerings and consult with Marketing and Communication team members on product attractiveness and change management.

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.