Regional Supervisory & Compliance Leader

LPL Financial; Oregon; Vor Ort; USD 81.000 - 136.000; Vollzeit

Zusammenfassung

LPL Financial is seeking a Home Office Supervision Principal in the United States. You will oversee the holistic supervision of HOS advisors and OSJ managers within your designated region, resolving escalated issues and ensuring compliant practices across teams.

The role requires extensive industry experience, supervisory background, and strong knowledge of FINRA, SEC, and state rules. You will work with a team to educate and guide advisors, maintaining relationships and driving compliant

Qualifikationen

• 7+ years industry experience
• 3+ years in direct supervisory capacity
• Licensing requirements: FINRA Series 7, 9 and 10 (or Series 24); Series 4 & 53 required or must pass within 120 days of employment (for candidates with S24)
• Series 66 (or S63 and S65)
• Knowledge of FINRA, SEC, and State rules and regulations

Aufgaben

• Resolve escalated, complex issues for the supervisory team
• Maintain relationships with HOS advisors and OSJ managers as main contact to educate and assist in compliance
• Support the supervisory team to ensure advisors meet regulatory and Firm standards

Kenntnisse

Customer Focus

Complex Problem Solving

Planning & Alignment

Collaboration

Time Management

Proactive Service

Risk Management

Innovation

Ausbildung

Undergraduate degree in Business, Accounting, Finance

Tools

Microsoft Excel

Microsoft Word

Microsoft Access

PowerPoint

Visio

Jobbeschreibung

LPL Financial is seeking a Home Office Supervision Principal in the United States. You will oversee the holistic supervision of HOS advisors and OSJ managers within your designated region, resolving escalated issues and ensuring compliant practices across teams.

The role requires extensive industry experience, supervisory background, and strong knowledge of FINRA, SEC, and state rules. You will work with a team to educate and guide advisors, maintaining relationships and driving compliant