Regional Supervisory Leader - Home Office Compliance
Fort Mill, York County, South Carolina, 29715, USA
Listed on 2026-10-06
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Management
Wealth Management, Regulatory Compliance Specialist, Risk Manager/Analyst -
Finance & Banking
Wealth Management, Regulatory Compliance Specialist, Financial Compliance, Risk Manager/Analyst
LPL Financial is seeking a Home Office Supervision Principal to oversee regional HOS advisors and OSJ managers, ensuring compliance with FINRA and SEC rules while delivering outstanding client service.
The role requires 7+ years in financial services, 3+ years in supervision, a Bachelor's degree, licensing (Series 7/9/10 or 24; Series 4/53; Series 66), and proficiency in Microsoft Office.
We would love to welcome a new Regional Supervisory Leader - Home Office Compliance to our team in Fort Mill, SC, United States.
All applications are reviewed carefully by our team.
The position is based in Fort Mill, SC, United States.
This opportunity is part of our work in Finance.
The advertised compensation is 84..
We aim to respond to suitable candidates as soon as possible.
Full responsibilities and requirements are described in the listing above.
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