Supervisory Principal
Job in
Coos Bay, Coos County, Oregon, 97458, USA
Listed on 2026-02-16
Listing for:
LPL Financial
Full Time
position Listed on 2026-02-16
Job specializations:
-
Finance & Banking
Risk Manager/Analyst, Financial Compliance, Financial Services, Corporate Finance
Job Description & How to Apply Below
Employer Industry: Financial Services
Why consider this job opportunity:- Salary up to $104,545/year
- Highly competitive benefits package including 401K matching, health benefits, employee stock options, and paid time off
- Opportunities for career advancement and professional growth within a leading financial firm
- Supportive and innovative work environment that fosters creativity and collaboration
- Chance to make a significant impact in the financial advisory space
- Review securities transactions for suitability and compliance with regulations and firm policies
- Analyze transaction activity to identify potential sales practice concerns
- Collaborate with Regional Supervisory Principals and other business partners to advance and resolve issues
- Supervise activity within various business models, including Advisory and RIA
- Provide consultative support to clients and ensure adherence to compliance standards
- Undergraduate degree in Business, Accounting, Finance, or a related discipline
- Minimum of 5 years of industry experience in a compliance-related function
- Required certifications:
Series 7, 24 (or Series 9 and 10), with Series 4 and 53 to be completed within 120 days of employment - Strong knowledge of FINRA, SEC, and state rules and regulations
- Excellent oral and written communication skills
- Experience in supervising complex financial products such as annuities and alternative investments
- Proficiency in developing compliance systems and strategies for effective supervision
- Strong problem-solving and follow-up skills in a fast-paced environment
- Ability to provide proactive collaboration and service-based responses to escalated issues
- Familiarity with mutual funds and general securities
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