Sr Regional Supervisory Principal

LPL Financial; Fort Mill (SC); On-site; USD 84,000 - 140,000; 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 regional HOS advisors and OSJ managers, ensuring compliance with FINRA and SEC rules while delivering outstanding client service.

The role requires 7+ years in financial services, 3+ years in supervision, a Bachelor's degree, licensing (Series 7/9/10 or 24; Series 4/53; Series 66), and proficiency in Microsoft Office.

Qualifications

• Undergraduate degree in Business, Accounting, Finance or related discipline.
• License requirements: FINRA Series 7/9/10 or Series 24; Series 4 & 53 or pass within 120 days; Series 66 or S63/S65.
• 7+ years industry experience.
• Minimum of 3 years in direct supervisory capacity.
• Knowledge of life insurance, mutual funds, annuities, general securities and other financial products.
• Knowledge of FINRA, SEC and State rules and regulations.

Responsibilities

• Resolve escalated, complex issues received by the supervisory team.
• Maintain relationships to HOS advisors and OSJ managers; educate, guide, and assist them with compliance.
• Support by a supervisory team to ensure advisors meet regulatory standards and Firm requirements.

Skills

FINRA licensing knowledge

Regulatory compliance understanding

Supervisory leadership

Customer service excellence

Office software proficiency

Education

Bachelor's degree in Business, Finance or related

Tools

Microsoft Office

Job description

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

$84,151.00 - $140,183.00

Benefits

• 401K matching
• health benefits
• employee stock options
• paid time off
• volunteer time off

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.

At LPL, independence means that advisors and institution leaders have the freedom they deserve to choose the business model, services, and technology resources that allow them to run a thriving business. They have the flexibility to do business their way. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors and institutions, so they can take care of their clients.

For further information about LPL, please visit www.lpl.com.

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