Senior Regional Supervisory Principal

LPL Financial•Tempe, CA

About The Position

The Regional Supervisory Principal, Home Office Supervision, is responsible for holistic supervision of Home Office Supervision advisors and OSJ managers in a designated region. The role requires knowledge of the financial services industry and applicable rules, regulations, and LPL Financial policies, as well as strong customer service skills. The principal resolves escalated, complex issues with support from the supervisory team and maintains ongoing relationships with advisors and OSJ managers, serving as a primary contact to educate, guide, and assist them in maintaining compliant businesses. A supervisory team supports the role in ensuring assigned financial advisors meet the supervision standards and requirements established by regulators and the firm.

Requirements

FINRA Series 7, 9, and 10 licenses, or Series 24.
Series 4 and 53 licenses, or the ability to pass them within 120 days of employment for candidates with Series 24.
Series 66, or Series 63 and 65.
Undergraduate degree in Business, Accounting, Finance, or a related discipline.
At least 7 years of industry experience.
At least 3 years in a direct supervisory capacity.
Experience with Microsoft applications, particularly Excel, Word, Access, PowerPoint, and Visio.
Knowledge of life insurance, mutual funds, annuities, general securities, alternative investments, and other financial products.
Knowledge of FINRA, SEC, and state rules and regulations.

Nice To Haves

Collaboration.
Innovation.

Responsibilities

Resolve escalated, complex issues with support from the supervisory team.
Maintain ongoing relationships with Home Office Supervision advisors and/or OSJ managers.
Serve as a main point of contact to educate, guide, and assist advisors and managers in maintaining a compliant business.
Ensure, with support from the supervisory team, that assigned financial advisors meet regulatory and firm supervision standards and requirements.