Regional Home Office Supervision Leader
Long Beach, Los Angeles County, California, 90801, USA
Listed on 2026-11-05
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Management
Regulatory Compliance Specialist, Area Manager, Operations Management
LPL Financial is seeking a Regional Supervisory Principal for Home Office Supervision. The role oversees HOS advisors and OSJ managers in the designated region, ensuring compliance with FINRA and regulatory requirements while delivering strong client service in a fast-paced environment.
Ideal candidates hold an undergraduate degree in Business or related field, 7+ years in the industry, and at least 3 years in supervisory roles, with FINRA licensing (Series 7/9/10 or 24, Series 66 or 63/65).
This posting is for the Regional Home Office Supervision Leader role at LPL Financial, based in CA, United States.
We aim to respond to suitable candidates as soon as possible.
Full responsibilities and requirements are described in the listing above.
Learn more about the Regional Home Office Supervision Leader role in the description above.
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