Senior Supervisory Principal - Compliance & Oversight Leader

LPL Financial LLC; 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 Holdings Inc. is seeking a Supervisory Principal to lead front-line supervisory tasks for the HOS, Branch OSJ and field OSJs with a focus on high-quality oversight and proactive risk management.

This role emphasizes regulatory compliance, review of transactions, and collaboration with regional principals. The position requires 7+ years in a compliance-related function, Series 7/9/10 (or Series 24) and knowledge of FINRA/SEC rules.

Qualifications

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

Responsibilities

• Review securities transactions for suitability and regulatory compliance.
• Review account-level suitability alerts for brokerage and advisory accounts.
• Approve account documentation and correspondence.
• Analyze transaction activity and identify potential sales practice concerns.
• Supervise activity within Advisory and RIA models and oversee complex products.

Skills

Regulatory knowledge

FINRA/SEC rules

Analytical skills

Communication skills

Problem solving

Education

Bachelor's degree in Business, Accounting, Finance or related discipline

Job description

LPL Financial Holdings Inc. is seeking a Supervisory Principal to lead front-line supervisory tasks for the HOS, Branch OSJ and field OSJs with a focus on high-quality oversight and proactive risk management.

This role emphasizes regulatory compliance, review of transactions, and collaboration with regional principals. The position requires 7+ years in a compliance-related function, Series 7/9/10 (or Series 24) and knowledge of FINRA/SEC rules.