Regional Home Office Supervision Leader

LPL Financial; California; Hybrid; USD 81.000 - 136.000; Vollzeit

Zusammenfassung

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).

Qualifikationen

• Undergraduate degree in Business, Accounting, Finance or related discipline.
• 7+ years industry experience.
• 3 years in a direct supervisory capacity.

Aufgaben

• Resolve escalated, complex issues for the supervisory team.
• Maintain relationships with HOS advisors and OSJ managers; educate, guide, and assist for compliance.
• Ensure advisors meet supervisory standards set by regulators and the Firm.

Kenntnisse

Customer Focus

Collaboration

Problem Solving

Time Management

Ausbildung

Undergraduate degree in Business, Accounting, Finance or related discipline

Tools

Microsoft Excel

Microsoft Word

Microsoft Access

PowerPoint

Visio

FINRA rules knowledge

Jobbeschreibung

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).