Sr. Supervisory Principal

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.

Job Overview:

The Senior Regional Supervisory Principal (RSP) is the first line supervisor for HOS advisor and OSJ managers

in their designated region. The Sr. Regional Supervisory Principal 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 Sr. 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.

Responsibilities:

• First line supervisory responsibility for HOS advisors and/or OSJ managers

• Proactively engage with supervisory team on a daily basis to form a collaborative environment amongst team members

• Ensures advisor and OSJ understanding and compliance with all firm and industry requirements by proactively communicating the firm’s policies and procedures

• Strong soft skills and ability to provide exceptional service while maintaining positive relationships to HOS advisors, OSJ Managers and support staff

• Must have the ability to communicate across all departments at LPL to resolve escalated issues

• Act as main point of contact for supervision related questions

• 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 appropriate corrective action, as needed, in collaboration with supervision management 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

• Service Management:

  • Responsible for leading and supporting their management and supervisory pod with escalations while maintaining positive relationships with Advisors and stakeholders throughout the firm.

  • Engage and coordinate with key business leaders as well as other internal departments to socialize concerns and escalated matters with senior leaders as needed.

  • Will be supported by a supervisory team responsible for ensuring that the assigned financial advisors are meeting the standards and requirements of supervision set forth by regulatory agencies and the firm.

What are we looking for?

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.

Requirements:

• 7+ years of experience in supervision, compliance and/or regulatory matters

• Series 7, 9 AND 10 (OR Series 24); Series 4 AND 53 and Series 66 (OR S63 AND S65)

Core Competencies:

• Must possess the ability to interpret FINRA, SEC, and state regulations and develop and apply certain policies and procedures within the scope of the current regulatory environment in an attempt to mitigate risk and protect the firm.

• Strong industry acumen, self-starter and the ability to work independently

• Ability to multi-task, prioritize, problem solve, trouble shoot, and follow-up are essential in this role

• Ability to identify problem areas, analyze risk for LPL Financial and develop policy, procedure and controls to effectively supervise and mitigate said risk

• Must work well under competing deadlines and possess strong organizational skills

• Excellent oral and written communication skills

• Proactive collaboration and service-based responses with business partners on escalated issues and concerns is essential

• Time management and Organization skills

Preferences:

• Previous client facing roles

Pay Range:

Company Overview:

LPL Financial Holdings Inc. (Nasdaq: LPLA) is among the fastest growing wealth management firms in the U.S. As a leader in the financial advisor-mediated marketplace. LPL supports over 29,000 financial advisors and the wealth-management practices of 1,100 financial institution, servicing and custodying approximately $1.9 trillion in brokerage and advisory assets on behalf of approximately 7 million Americans. The firm provides a wide range of advisor affiliation models, investment solutions, fintech tools and practice management services, ensuring that advisors and institutions have the flexibility to choose the business model, services, and technology resources they need to run thriving businesses.

At LPL, independence means that advisors and institution leaders have the freedom they deserve to choose the business model, services, and technology resources that allow them to run a thriving business. They have the flexibility to do business their way. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors and institutions, so they can take care of their clients.

For further information about LPL, please visit www.lpl.com.

Join LPL Financial: Where Your Potential Meets Opportunity

At LPL Financial, we believe that everyone deserves objective financial guidance. As the nation’s leading independent broker-dealer, we offer an integrated platform of cutting-edge technology, brokerage, and investment advisor services.

Why LPL?

• Innovative Environment: We foster creativity and growth, providing a supportive and responsive leadership team. Learn more about our leadership team here!

• Limitless Career Potential: Your career at LPL has no limits, only amazing potential. Learn more about our careers here!

• Unified Mission: We are one team on one mission—taking care of our advisors so they can take care of their clients. Learn more about our mission and values here!

• Impactful Work: Our size is just right for you to make a real impact. Learn more here!

• Commitment to Equality: We support workplace equality and embrace diverse perspectives and backgrounds. Learn more here!

• Community Focus: We care for our communities and encourage our employees to do the same. Learn more here!

• Benefits and Total Rewards: Our Total Rewards package goes beyond just compensation and insurance. It includes a mix of traditional and unique benefits, perks, and resources designed to enhance your life both at work and at home. Learn more here!

Join the LPL team and help us make a difference by turning life’s aspirations into financial realities. Please log in or create an account to apply to this position. Principals only. EOE.

Information on Interviews:

LPL will only communicate with a job applicant directly from an @lplfinancial.com email address and will never conduct an interview online or in a chatroom forum. During an interview, LPL will not request any form of payment from the applicant, or information regarding an applicant’s bank or credit card. Should you have any questions regarding the application process, please contact LPL’s Human Resources Solutions Center at (855) 575-6947.

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