Regional Supervisory Leader - Home Office Compliance

LPL Financial; Fort Mill (SC); On-site; USD 84,000 - 140,000; Full time

Benefits offered by this job

401K matching

health benefits

employee stock options

paid time off

volunteer time off

Job summary

LPL Financial is seeking a Home Office Supervision Principal to oversee regional HOS advisors and OSJ managers, ensuring compliance with FINRA and SEC rules while delivering outstanding client service.

The role requires 7+ years in financial services, 3+ years in supervision, a Bachelor's degree, licensing (Series 7/9/10 or 24; Series 4/53; Series 66), and proficiency in Microsoft Office.

Qualifications

• Undergraduate degree in Business, Accounting, Finance or related discipline.
• License requirements: FINRA Series 7/9/10 or Series 24; Series 4 & 53 or pass within 120 days; Series 66 or S63/S65.
• 7+ years industry experience.
• Minimum of 3 years in direct supervisory capacity.
• Knowledge of life insurance, mutual funds, annuities, general securities and other financial products.
• Knowledge of FINRA, SEC and State rules and regulations.

Responsibilities

• Resolve escalated, complex issues received by the supervisory team.
• Maintain relationships to HOS advisors and OSJ managers; educate, guide, and assist them with compliance.
• Support by a supervisory team to ensure advisors meet regulatory standards and Firm requirements.

Skills

FINRA licensing knowledge

Regulatory compliance understanding

Supervisory leadership

Customer service excellence

Office software proficiency

Education

Bachelor's degree in Business, Finance or related

Tools

Microsoft Office

Job description

LPL Financial is seeking a Home Office Supervision Principal to oversee regional HOS advisors and OSJ managers, ensuring compliance with FINRA and SEC rules while delivering outstanding client service.

The role requires 7+ years in financial services, 3+ years in supervision, a Bachelor's degree, licensing (Series 7/9/10 or 24; Series 4/53; Series 66), and proficiency in Microsoft Office.