Regional Supervisory Principal, Home Office Compliance

LPL Financial; Tempe (AZ); On-site; USD 81,000 - 136,000; 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 the holistic supervision of HOS advisors and OSJ managers in the designated region. You will resolve escalated issues, educate teams on compliance, and partner with a supervisory group to ensure standards are met while supporting a compliant, client-focused environment.

The role requires extensive FINRA licensing knowledge, 7+ years in the industry, and at least 3 years in a supervisory capacity, with strong Microsoft Office

Qualifications

• 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)

Responsibilities

• Resolve escalated, complex issues for supervision team
• Maintain relationships with HOS advisors and OSJ managers as main contact to educate, guide, and assist with compliance
• Lead supervisory team to ensure advisors meet regulatory standards and firm requirements

Skills

Customer service

Regulatory knowledge

Leadership

Supervisory experience

Education

Undergraduate degree in Business, Accounting, Finance or related discipline

Tools

Excel

Word

Access

PowerPoint

Visio

Job description

LPL Financial is seeking a Home Office Supervision Principal to oversee the holistic supervision of HOS advisors and OSJ managers in the designated region. You will resolve escalated issues, educate teams on compliance, and partner with a supervisory group to ensure standards are met while supporting a compliant, client-focused environment.

The role requires extensive FINRA licensing knowledge, 7+ years in the industry, and at least 3 years in a supervisory capacity, with strong Microsoft Office