Sr Regional Supervisory Principal

LPL Financial; Tempe (AZ); On-site; USD 84,000 - 140,000; Full time

Job summary

LPL Financial is seeking a Home Office Supervision Principal in the Tempe area to oversee the regional supervision of HOS advisors and OSJ managers, ensuring compliance and strong client service. You will resolve escalated issues, guide supervisory teams, and maintain relationships with advisors in a fast-paced environment.

The role requires significant industry experience, FINRA licensing, and a deep understanding of securities products, regulations, and firm policies to drive safe, compliant

Qualifications

• FINRA licenses required (7/9/10 or 24; 4/53 or pass within 120 days; 66 or S63/S65).
• Undergraduate degree in Business, Accounting, Finance or related discipline.
• 7+ years industry experience with at least 3 in supervision.
• Experience with MS Office suite and knowledge of regulatory rules (FINRA/SEC/State).

Responsibilities

• Resolve escalated, complex issues for the supervisory team.
• Maintain relationships with HOS advisors and OSJ managers; educate, guide, and assist to maintain compliant business.
• Ensure advisors meet standards and regulatory requirements set by agencies and the Firm.

Skills

7+ years industry experience

3+ years supervisory experience

Regulatory compliance mindset

Customer service orientation

Problem solving

Education

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

FINRA licenses: Series 7/9/10 or Series 24; Series 4 & 53 or pass within 120 days; Series 66 or S63/S65

Tools

Microsoft Excel

Microsoft Word

Microsoft Access

PowerPoint

Visio

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

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.

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.

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