Senior Regional Supervisor, Home Office Compliance

LPL Financial; Arizona; 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 Regional Supervisory Principal for Home Office Supervision to oversee the holistic supervision of HOS advisors and OSJ managers within the designated region. This role emphasizes regulatory knowledge and strong customer service to ensure compliant business practices.

The candidate will resolve escalated issues, educate and guide advisors, and collaborate with a supervisory team to maintain standards set by FINRA, SEC and state regulators.

Qualifications

• 7+ years industry experience.
• Undergraduate degree in Business, Accounting, Finance or related discipline.
• Knowledge of FINRA, SEC, and State rules and regulations.

Responsibilities

• Responsible for resolving escalated, complex issues received by the support of the supervisory team.
• Responsible for maintaining ongoing relationships to HOS advisors and/or OSJ managers by acting as a main point of contact to educate, guide, and assist them with maintaining a compliant business.
• Will be supported by a supervisory team responsible for ensuring that the assigned financial advisors are meeting the standards and requirements of supervision set forth by regulatory agencies and the Firm.

Skills

Customer Focus

Complex Problem Solving

Planning & Alignment

Collaboration

Time Management & Organization

Proactive Service & Consultation Mind

Risk Management

Innovation

Education

Undergraduate degree in Business, Accounting, Finance or related discipline

Tools

Microsoft Office

Job description

LPL Financial is seeking a Regional Supervisory Principal for Home Office Supervision to oversee the holistic supervision of HOS advisors and OSJ managers within the designated region. This role emphasizes regulatory knowledge and strong customer service to ensure compliant business practices.

The candidate will resolve escalated issues, educate and guide advisors, and collaborate with a supervisory team to maintain standards set by FINRA, SEC and state regulators.