Senior Regional Supervisory Principal
LPL Financial•Remote North Carolina, NC
•$84,151 - $140,183
About The Position
The 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.
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
- Resolving escalated, complex issues received by the supporting supervisory team.
- 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.
- Ensuring that the assigned financial advisors are meeting the standards and requirements of supervision set forth by regulatory agencies and the Firm.
Benefits
- 401K matching
- health benefits
- employee stock options
- paid time off
- volunteer time off
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What This Job Offers
Job Type
Full-time
Career Level
Senior
