LPL Financial
Regional Supervisory Principal, Home Office Supervision
LPL Financial is seeking a Regional Supervisory Principal, Home Office Supervision. This role is the first line supervisor for HOS advisors and OSJ managers in their designated region. The 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 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. Responsibilities include: First line supervisory responsibility for assigned advisors and OSJ Managers as part of a supervisory team Maintaining ongoing positive relationship as a first line Supervisor, guide and resource to all HOS advisors and OSJ Managers and support staff in collaboration with the Regional Territory Manager (RTM) and Business Consulting Ensuring advisor and OSJ understanding and compliance with all firm and industry requirements by proactively communicating the firm's policies and procedures Engaging in regular supervisory office visits (SOV's) with assigned HOS advisors and OSJ Managers in order to promote company supervisory practices, follow up on audit findings and proactively addressing potential compliance issues to minimize risk to the client, the OSJ and the firm Identifying suspicious patterns in sales and business practice. Conducting investigations and taking appropriate corrective action as needed in collaboration with the RTM and other internal business units Identifying and executing training based on advisor needs and opportunities Actively monitoring the supervisory systems for their assigned advisors and OSJs and assisting in the resolution of heightened transaction review issues and various other situations where the first line supervisor must be involved and make the final decision Acting as a conduit of information between the Home Office and the field to assist with problem solving. Assisting with regulatory exams and requests as well as assisting with other internal investigations and reviews relative to supervised advisors and OSJs 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 include: 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 Core competencies include: 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 Proactive collaboration and service-based responses with business partners on escalated issues and concerns is essential Excellent management and human relations skills Pay Range: $81,675-$136,125/year. 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. Your recruiter will be happy to discuss all that LPL has to offer! LPL Financial Holdings Inc. (Nasdaq: LPLA) was founded on the principle that the firm should work for advisors and institutions, and not the other way around. Today, LPL is a leader in the markets we serve, serving more than 23,000 financial advisors, including advisors at approximately 1,000 institutions and at approximately 580 registered investment advisor ("RIA") firms nationwide. We are steadfast in our commitment to the advisor-mediated model and the belief that Americans deserve access to personalized guidance from a financial professional. 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. Join LPL Financial: Where Your Potential Meets Opportunity. At LPL Financial, we believe that everyone deserves objective financial guidance. As the nation's leading independent broker-dealer, we offer an integrated platform of cutting-edge technology, brokerage, and investment advisor services.
LPL Financial is seeking a Regional Supervisory Principal, Home Office Supervision. This role is the first line supervisor for HOS advisors and OSJ managers in their designated region. The 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 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. Responsibilities include: First line supervisory responsibility for assigned advisors and OSJ Managers as part of a supervisory team Maintaining ongoing positive relationship as a first line Supervisor, guide and resource to all HOS advisors and OSJ Managers and support staff in collaboration with the Regional Territory Manager (RTM) and Business Consulting Ensuring advisor and OSJ understanding and compliance with all firm and industry requirements by proactively communicating the firm's policies and procedures Engaging in regular supervisory office visits (SOV's) with assigned HOS advisors and OSJ Managers in order to promote company supervisory practices, follow up on audit findings and proactively addressing potential compliance issues to minimize risk to the client, the OSJ and the firm Identifying suspicious patterns in sales and business practice. Conducting investigations and taking appropriate corrective action as needed in collaboration with the RTM and other internal business units Identifying and executing training based on advisor needs and opportunities Actively monitoring the supervisory systems for their assigned advisors and OSJs and assisting in the resolution of heightened transaction review issues and various other situations where the first line supervisor must be involved and make the final decision Acting as a conduit of information between the Home Office and the field to assist with problem solving. Assisting with regulatory exams and requests as well as assisting with other internal investigations and reviews relative to supervised advisors and OSJs 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 include: 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 Core competencies include: 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 Proactive collaboration and service-based responses with business partners on escalated issues and concerns is essential Excellent management and human relations skills Pay Range: $81,675-$136,125/year. 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. Your recruiter will be happy to discuss all that LPL has to offer! LPL Financial Holdings Inc. (Nasdaq: LPLA) was founded on the principle that the firm should work for advisors and institutions, and not the other way around. Today, LPL is a leader in the markets we serve, serving more than 23,000 financial advisors, including advisors at approximately 1,000 institutions and at approximately 580 registered investment advisor ("RIA") firms nationwide. We are steadfast in our commitment to the advisor-mediated model and the belief that Americans deserve access to personalized guidance from a financial professional. 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. Join LPL Financial: Where Your Potential Meets Opportunity. At LPL Financial, we believe that everyone deserves objective financial guidance. As the nation's leading independent broker-dealer, we offer an integrated platform of cutting-edge technology, brokerage, and investment advisor services.