Senior Regional Supervisory Principal

LPL Financial; Oregon; Presencial; USD 81.000 - 136.000; Jornada completa

Descripción de la vacante

LPL Financial is seeking a Home Office Supervision Principal in the United States. You will oversee the holistic supervision of HOS advisors and OSJ managers within your designated region, resolving escalated issues and ensuring compliant practices across teams.

The role requires extensive industry experience, supervisory background, and strong knowledge of FINRA, SEC, and state rules. You will work with a team to educate and guide advisors, maintaining relationships and driving compliant

Formación

• 7+ years industry experience
• 3+ years in direct supervisory capacity
• 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)
• Knowledge of FINRA, SEC, and State rules and regulations

Responsabilidades

• Resolve escalated, complex issues for the supervisory team
• Maintain relationships with HOS advisors and OSJ managers as main contact to educate and assist in compliance
• Support the supervisory team to ensure advisors meet regulatory and Firm standards

Conocimientos

Customer Focus

Complex Problem Solving

Planning & Alignment

Collaboration

Time Management

Proactive Service

Risk Management

Innovation

Educación

Undergraduate degree in Business, Accounting, Finance

Herramientas

Microsoft Excel

Microsoft Word

Microsoft Access

PowerPoint

Visio

Descripción del empleo

Where Ambition Meets Innovation

Build a career that matches all your initiative with an impressive dose of innovation. From cutting-edge resources and a collaborative environment to the freedom to make an impact and more, you’ll find the ingredients you need at LPL Financial to shape your success while helping clients pursue their financial goals.

Job Overview

Home Office Supervision Principal will have an understanding of the financial services industry; rules, regulations, and policies of LPL Financial and our various regulatory bodies; and excellent customer service skills. The Regional Supervisory Principal, Home Office Supervision is responsible for the holistic supervision of HOS advisors and OSJ managers in their designated region.

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.

What are we looking for?

We’re looking for strong collaborators who deliver exceptional client experiences and thrive in fast-paced, team-oriented environments. Our ideal candidates pursue greatness, act with integrity, and are driven to help our clients succeed. We value those who embrace creativity, continuous improvement, and contribute to a culture where we win together and create and share joy in our work.

Requirements

• 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)
• Undergraduate degree in Business, Accounting, Finance or related discipline
• 7+ years industry experience
• A minimum of 3 years in a direct supervisory capacity
• Experience with all Microsoft applications, particularly, Excel, Word, Access, PowerPoint, and Visio
• Knowledge of life insurance, mutual funds, annuities, general securities, alternative investments, and other financial products required
• Knowledge of FINRA, SEC, and State rules and regulations

Core Competencies

• Customer Focus
• Complex Problem Solving
• Planning & Alignment
• Collaboration
• Time Management & Organization
• Proactive Service & Consultation Mindset
• Risk Management
• Innovation

Preferences

• Collaboration
• Innovation

Pay Range

$81,473.00 - $135,857.00

Actual base salary varies based on factors, including but not limited to, relevant skill, prior experience, education, base salary of internal peers, demonstrated performance, and geographic location. Additionally, LPL Total Rewards package is highly competitive, designed to support your success at work, at home, and at play – such as 401K matching, health benefits, employee stock options, paid time off, volunteer time off, and more.

Company Overview

LPL Financial Holdings Inc. (Nasdaq: LPLA) is among the fastest growing wealth management firms in the U.S. As a leader in the financial advisor-mediated marketplace(6) , LPL supports over 32,000 financial advisors and the wealth management practices of approximately 1,100 financial institutions, servicing and custodying approximately $2.3 trillion in brokerage and advisory assets on behalf of approximately 8 million Americans. The firm provides a wide range of advisor affiliation models, investment solutions, fintech tools and practice management services, ensuring that advisors and institutions have the flexibility to choose the business model, services, and technology resources they need to run thriving businesses. For further information about LPL, please visit www.lpl.com. Join the LPL team and help us make a difference by turning life’s aspirations into financial realities. Principals only. EOE.

Information on Interviews

LPL will only communicate with a job applicant directly from an @lplfinancial.com email address and will never conduct an interview online or in a chatroom forum. During an interview, LPL will not request any form of payment from the applicant, or information regarding an applicant’s bank or credit card. Should you have any questions regarding the application process, please contact LPL’s Human Resources Solutions Center at [phone].

EAC 5.19.26