Supervisory Principal

Job Overview

The Supervisory Principal will serve as a subject matter expert for LPL Financial Advisors across the country and supervise the suitability of transactions in complex products. The role ensures advisors meet supervisory standards and regulatory requirements, providing project support and additional duties as assigned.

• Suitability review and approval of transactions in product-specific areas such as alternative investments, structured products, exchange traded products, variable annuity liquidations, etc.
• Act as a subject matter expert and liaison with vendors and wholesalers.
• Assist with regulatory exams and requests and maintain supervisory procedures.
• Project management, planning, and issue resolution, handling complex issues and aggressive deadlines.
• Lead investigations of questionable sales activity and work with a Senior Analyst or Manager on resolution.
• Keep up to date with company and industry regulations; interpret firm policies and procedures in daily processes.
• Collaborate within a team to identify potential sales practice concerns, initiate escalations, and consult on problematic clients or branches.

• Undergraduate degree in Business, Accounting, Finance, or related discipline.
• Series 7, 66 (or 63 and 65), 24 (or 9 and 10) exams; if one exam is needed, it can be obtained within 90 days.
• At least 5 years of industry experience.
• Understanding of complex products (e.g., alternative investments and structured products).
• Knowledge of mutual funds, annuities, general securities, and other financial products required.
• Knowledge of FINRA, SEC, and State rules and regulations.

• Ability to work in a fast‑paced/high‑volume environment and be flexible with work schedule.
• Strong attention to detail, excellent problem‑solving, and follow‑up skills.
• Oral and written communication skills.
• Ability to make regulatory and supervisory‑based decisions.
• Mentoring skills and ability to collaborate with business partners on escalated issues.
• Management and human relations skills.
• Ability to develop compliance systems and strategies for effective supervision.

• Series 4 & 53 licenses.
• Life and Health Insurance license.
• Experience with Microsoft applications (Excel, Word, Access, PowerPoint, Visio) and familiarity with BETA.

$62,727.00 – $ (actual base salary varies based on factors such as relevant skill, experience, education, and geographic location).

LPL offers a comprehensive rewards package including 401(k) matching, health benefits, employee stock options, paid time off, volunteer time off, and more.

Principals only. EOE.