What if you could build a career where ambition meets innovation? At LPL Financial, we empower professionals to shape their success while helping clients pursue their financial goals with confidence. What if you could have access to cutting-edge resources, a collaborative environment, and the freedom to make an impact? If you’re ready to take the next step, discover what’s possible with LPL Financial.
Our Senior Regional Supervisory Principal, Home Office Supervision is the first line supervisor for HOS advisors and OSJ managers in their designated region. The Senior Regional Supervisory Principal (RSP) is charged with maintaining ongoing relationships with their designated advisors and OSJs to educate, guide, and assist them with their compliance responsibilities. They will act as a point of contact and assist where necessary to help build compliant business partnerships with LPL Financial.
The Senior Regional Supervisory Principal will be responsible for ensuring that the assigned financial advisors are meeting the standards and requirements of supervision set forth by regulatory agencies and the Firm.

QUALIFICATIONS:

• Undergraduate degree in Business, Accounting, Finance or related discipline
• 7+ years industry experience
• Licenses/Certifications Required/Preferred: 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) preferred
• Experience with all Microsoft applications, particularly, Excel, Word, Access, PowerPoint, SharePoint, and Visio. Familiarity with BETA a plus

• Knowledge of mutual funds, annuities, general securities, and other financial products required
• Ability to work in a fast paced/high volume environment and be flexible with work schedule
• Strong knowledge of FINRA SEC, and state rules and regulations
• Ability to develop compliance systems and strategies for effective supervision
• Ability to multi-task, strong attention to detail, excellent problem-solving and follow-up skills are essential for this position
• Excellent oral and written communication skills
• Ability to make regulatory and supervisory-based decisions will be necessary to complete the day-to-day functions of the role and for staff support in their role as Branch Office Manager