Regional Supervisory Leader Compliance & Growth

LPL Financial; Tempe (AZ); On-site; USD 84,000 - 140,000; Full time

Job summary

LPL Financial is seeking a Home Office Supervision Principal in the Tempe area to oversee the regional supervision of HOS advisors and OSJ managers, ensuring compliance and strong client service. You will resolve escalated issues, guide supervisory teams, and maintain relationships with advisors in a fast-paced environment.

The role requires significant industry experience, FINRA licensing, and a deep understanding of securities products, regulations, and firm policies to drive safe, compliant

Qualifications

• FINRA licenses required (7/9/10 or 24; 4/53 or pass within 120 days; 66 or S63/S65).
• Undergraduate degree in Business, Accounting, Finance or related discipline.
• 7+ years industry experience with at least 3 in supervision.
• Experience with MS Office suite and knowledge of regulatory rules (FINRA/SEC/State).

Responsibilities

• Resolve escalated, complex issues for the supervisory team.
• Maintain relationships with HOS advisors and OSJ managers; educate, guide, and assist to maintain compliant business.
• Ensure advisors meet standards and regulatory requirements set by agencies and the Firm.

Skills

7+ years industry experience

3+ years supervisory experience

Regulatory compliance mindset

Customer service orientation

Problem solving

Education

Bachelor's degree in Business/Accounting/Finance or related discipline

FINRA licenses: Series 7/9/10 or Series 24; Series 4 & 53 or pass within 120 days; Series 66 or S63/S65

Tools

Microsoft Excel

Microsoft Word

Microsoft Access

PowerPoint

Visio

Job description

LPL Financial is seeking a Home Office Supervision Principal in the Tempe area to oversee the regional supervision of HOS advisors and OSJ managers, ensuring compliance and strong client service. You will resolve escalated issues, guide supervisory teams, and maintain relationships with advisors in a fast-paced environment.

The role requires significant industry experience, FINRA licensing, and a deep understanding of securities products, regulations, and firm policies to drive safe, compliant