Senior Compliance & Supervisory Principal

lplfinancial; Fort Mill (SC); On-site; USD 74,000 - 123,000; 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 Supervisory Principal in Fort Mill, SC to lead front-line supervisory tasks, ensure compliance with regulations, and act as SME for complex products and OSJ processes. The role emphasizes adherence to SLAs and high-quality control while guiding branch operations and advisors.

The ideal candidate has a business/finance degree, 7+ years in compliance, and Series 7/9/10 or Series 24, plus Series 4/53 or pass within 120 days, and Series 66 or equivalents.

Qualifications

• Undergraduate degree in Business, Accounting, Finance or related discipline.
• 7+ years' industry experience in a compliance related function.
• Series 7, 9 & 10 (OR Series 24); Series 4 & 53 required OR must pass within 120 days of employment (for candidates with S24); Series 66 (OR S63 & S65)

Responsibilities

• Review securities transactions on the electronic trade blotter for suitability and compliance with regulations and firm policy.
• Review account-level suitability alerts for brokerage and advisory accounts using LPL's electronic supervisory tool suite.
• Review and approval of account documentation and correspondence.
• Analysis of transaction activity and identification of potential sales practice concerns.
• Collaboration with Regional Supervisory Principals and other business partners to scale and resolve sales practice concerns.
• Supervise activity within the Advisory and RIA business models
• Review of full discretion and advisory fee credits/reversals
• Supervisory oversight of MSRB securities (municipal bonds, 529 College Plans)
• Supervisory oversight of Complex Products such as annuities, alternative investments, and structured products.

Skills

Regulatory compliance

FINRA/SEC knowledge

Supervisory experience

Education

Bachelor's degree in Business/Accounting/Finance

Tools

LPL Supervisory Tools

Job description

LPL Financial is seeking a Supervisory Principal in Fort Mill, SC to lead front-line supervisory tasks, ensure compliance with regulations, and act as SME for complex products and OSJ processes. The role emphasizes adherence to SLAs and high-quality control while guiding branch operations and advisors.

The ideal candidate has a business/finance degree, 7+ years in compliance, and Series 7/9/10 or Series 24, plus Series 4/53 or pass within 120 days, and Series 66 or equivalents.