Regional Supervisory Principal: Compliance & Impact Leader

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

Job summary

LPL Financial LLC is seeking a Regional Supervisory Principal, Home Office Supervision in Charlotte, NC to oversee HOS advisors and OSJ managers within the region. You will educate, guide, and support a team to maintain compliant operations.

The role demands strong collaboration, regulatory knowledge, and 7+ years in financial services with prior supervisory experience. A comprehensive benefits package accompanies the position.

Qualifications

• Bachelor's degree in Business, Accounting, Finance or related discipline.
• Experience in financial services regulatory environments and supervision.
• Strong knowledge of FINRA and SEC rules and industry regulations.

Responsibilities

• Resolve escalated, complex issues for the supervisory team.
• Maintain relationships with HOS advisors and OSJ managers, guiding compliant practices.
• Lead the supervisory team to ensure advisors meet regulatory standards.

Skills

FINRA licensing knowledge

Supervisory leadership

Regulatory compliance

Microsoft Office proficiency

Financial services experience

Education

Undergraduate degree in Business/Finance

Tools

Microsoft Excel

Word

Access

PowerPoint

Visio

Job description

LPL Financial LLC is seeking a Regional Supervisory Principal, Home Office Supervision in Charlotte, NC to oversee HOS advisors and OSJ managers within the region. You will educate, guide, and support a team to maintain compliant operations.

The role demands strong collaboration, regulatory knowledge, and 7+ years in financial services with prior supervisory experience. A comprehensive benefits package accompanies the position.