Senior Regional Supervisory Principal

Overview

What if you could build a career where ambition meets innovation? At LPL Financial, we empower professionals to shape their success while helping clients pursue their financial goals with confidence. What if you could have access to cutting-edge resources, a collaborative environment, and the freedom to make an impact? If you're ready to take the next step, discover what’s possible with LPL Financial.

Our Senior Regional Supervisory Principal, Home Office Supervision is the first line supervisor for HOS advisors and OSJ managers in their designated region. The Senior Regional Supervisory Principal (RSP) is charged with maintaining ongoing relationships with their designated advisors and OSJs to educate, guide, and assist them with their compliance responsibilities. They will act as a point of contact and assist where necessary to help build compliant business partnerships with LPL Financial.

The Senior Regional Supervisory Principal will be responsible for ensuring that the assigned financial advisors are meeting the standards and requirements of supervision set forth by regulatory agencies and the Firm.

• First line supervisory responsibility for assigned advisors and OSJ Managers as part of a supervisory team
• Maintains ongoing positive relationship as a first line Supervisor, guide and resource to all HOS advisors and OSJ Managers and support staff in collaboration with the Regional Territory Manager (RTM) and Business Consulting
• Ensures advisor and OSJ understanding and compliance with all firm and industry requirements by proactively communicating the firm’s policies and procedures
• Engages in regular supervisory office visits (SOV’s) with assigned HOS advisors and OSJ Managers in order to promote company supervisory practices, follow up on audit findings and proactively addressing potential compliance issues to minimize risk to the client, the OSJ and the firm
• Identifies suspicious patterns in sales and business practice. Conducts investigations and takes appropriate corrective action as needed in collaboration with the RTM and other internal business units
• Identifies and executes training based on advisor needs and opportunities
• Actively monitor the supervisory systems for their assigned advisors and OSJs and assist in the resolution of heightened transaction review issues and various other situations where the first line supervisor must be involved and make the final decision
• Acts as a conduit of information between the Home Office and the field to assist with problem solving
• Assist with regulatory exams and requests as well as assist with other internal investigations and reviews relative to supervised advisors and OSJs
• Act as a point of contact and help provide guidance and information to help solve minor day-to-day questions and issues
• Participate in special projects, as requested by Management

We’re looking for strong collaborators who deliver exceptional client experiences and thrive in fast-paced, team-oriented environments. Our ideal candidates pursue greatness
, act with integrity
, and are driven to help our clients succeed
. We value those who embrace creativity, continuous improvement, and contribute to a culture where we win together and create and share joy in our work.

• Undergraduate degree in Business, Accounting, Finance or related discipline
• 7+ years industry experience
• Licenses/Certifications Required/Preferred:
  Series 7, 9 and 10 (or Series 24);
  Series 4 & 53 required or must pass within 120 days of employment (for candidates with S24). Series 66 (or S63 and S65) preferred
• Experience with all Microsoft applications, particularly, Excel, Word, Access, PowerPoint, SharePoint, and Visio. Familiarity with BETA a plus

• Knowledge of mutual funds, annuities, general securities, and other financial products required
• Ability to work in a fast paced/high volume environment and be flexible with work schedule
• Strong knowledge of FINRA SEC, and state rules and regulations
• Ability to develop compliance systems and strategies for effective supervision
• Ability to multi-task, strong attention to detail, excellent…