LPL Financial Holdings Inc. is looking for a Senior Regional Supervisory Principal to serve as the first line supervisor for HOS advisors and OSJ managers within a designated region. In this role, you will educate, guide, and assist with compliance responsibilities, acting as a key point of contact to build compliant business partnerships.
What You'll Do
- Provide first line supervisory responsibility for assigned advisors and OSJ Managers as part of a supervisory team.
- Maintain ongoing relationships as a first line supervisor, guide, and resource to all HOS advisors and OSJ Managers.
- Ensure advisor and OSJ understanding and compliance with all firm and industry requirements by proactively communicating the firm’s policies and procedures.
- Engage in regular supervisory office visits (SOV’s) to promote company practices, follow up on audit findings, and proactively address potential compliance issues.
- Identify suspicious patterns in sales and business practice, conduct investigations, and take appropriate corrective action as needed.
- Identify and execute training based on advisor needs and opportunities.
- Actively monitor supervisory systems for assigned advisors and OSJs and assist in resolving heightened transaction review issues.
- Act as a conduit of information between the Home Office and the field to assist with problem solving.
- Assist with regulatory exams and requests, as well as other internal investigations and reviews relative to supervised advisors and OSJs.
- Act as a point of contact to help solve minor day-to-day questions and issues.
- Participate in special projects, as requested by Management.
What We're Looking For
- Undergraduate degree in Business, Accounting, Finance or a related discipline.
- 7+ years of industry experience.
- Required Licenses/Certifications: Series 7, 9 and 10 (or Series 24); Series 4 & 53 required or must pass within 120 days of employment (for candidates with S24).
- Experience with all Microsoft applications, particularly Excel, Word, Access, PowerPoint, SharePoint, and Visio.
- Knowledge of mutual funds, annuities, general securities, and other financial products.
- 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.
- Excellent oral and written communication skills.
- Ability to make regulatory and supervisory-based decisions necessary for day-to-day functions and for staff support as Branch Office Manager.
- Proactive collaboration and service-based responses with business partners on escalated issues and concerns.
- Excellent management and human relations skills.
Nice to Have
- Series 66 (or S63 and S65) preferred.
- Familiarity with BETA a plus.
Technical Stack
- Microsoft Excel
- Microsoft Word
- Microsoft Access
- Microsoft PowerPoint
- Microsoft SharePoint
- Microsoft Visio
- BETA (familiarity a plus)
Team & Environment
You will be part of a supervisory team and will collaborate closely with the Regional Territory Manager (RTM) and Business Consulting.
Benefits & Compensation
- Compensation: $84,125-$140,209/year
- 401K matching
- Health benefits
- Employee stock options
- Paid time off
- Volunteer time off
LPL Financial Holdings Inc. is an equal opportunity employer. Principals only. EOE.
