Sr Regional Supervisory Principal

LPL Financial•Charlotte, NC

About The Position

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

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

Nice To Haves

Collaboration
Innovation

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.