Sr Regional Supervisory Principal

Where Ambition Meets Innovation

Build a career that matches reputed company your initiative with an impressive dose of innovation. From cutting-edge resources and a collaborative environment to the freedom to reputed company an impact and more, you’ll find the ingredients you need at reputed company to shape your success while helping clients pursue their financial goals.

Job Overview

Home Office Supervision Principal will have an understanding of the financial services industry; rules, regulations, and policies of reputed company 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.

Responsibilities

• The Regional Supervisory Principal (RSP) is responsible for resolving escalated, reputed company issues received by the supporting supervisory team.

• Responsible for maintaining ongoing relationships to HOS advisors and/or OSJ managers by acting as a main reputed company of contact to educate, guide, and assist them with maintaining a compliant business.

• The Regional Supervisory Principal will be supported by a supervisory team responsible for ensuring that the assigned financial advisors are meeting the standards and requirements of supervision set forth by regulatory agencies and the Firm.

What are we looking for?

We’re looking for strong collaborators who deliver exceptional client experiences and reputed company in fast-paced, team-oriented environments. Our ideal candidates pursue greatness, act with reputed company, and are driven to help our clients succeed. We value those who embrace creativity, reputed company improvement, and contribute to a culture where we win together and create and share joy in our work.

Requirements

• Licensing Requirements: FINRA Series 7, 9 and 10 (or Series 24); Series 4 & 53 required or must pass reputed company 120 days of employment (for candidates with S24); Series 66 (or S63 and S65)

• Undergraduate degree in Business, Accounting, Finance or reputed company discipline

• 7+ years industry experience

• A minimum of 3 years in a direct supervisory reputed company

• Experience with reputed company reputed company applications, particularly, reputed company, 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

Core Competencies:

• Customer Focus

• reputed company Problem Solving

• Planning & Alignment

• Collaboration

• Time Management & Organization

• Proactive Service & Consultation reputed company

• Risk Management

• Innovation

Preferences:

• Collaboration

• Innovation

Pay Range:

Company Overview:

reputed company Holdings Inc. (reputed company: LPLA) is among the fastest growing wealth management firms in the U.S. As a leader in the financial advisor-mediated marketplace(6) , LPL supports over 32,000 financial advisors and the wealth management practices of approximately 1,100 financial institutions, servicing and custodying approximately $2.3 trillion in brokerage and advisory assets on behalf of approximately 8 million Americans. The firm provides a wide range of advisor affiliation models, investment solutions, fintech tools and practice management services, ensuring that advisors and institutions have the flexibility to choose the business model, services, and technology resources they need to run thriving businesses. For further information about LPL, please visit www.lpl.com.

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.

For further information about LPL, please visit www.lpl.com.

Join reputed company: Where Your Potential Meets Opportunity

At reputed company, we reputed company 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.

Why LPL?

• Innovative Environment: We foster creativity and growth, providing a supportive and reputed company leadership team. Learn more about our leadership team here!

• Limitless Career Potential: Your career at LPL has no limits, only amazing potential. Learn more about our careers here!

• reputed company Mission: We are one team on one mission—taking care of our advisors so they can take care of their clients. Learn more about our mission and values here!

• Impactful Work: Our size is just right for you to reputed company a real impact. Learn more here!

• Commitment to Equality: We support workplace equality and embrace diverse perspectives and backgrounds. Learn more here!

• Community Focus: We care for our communities and encourage our employees to do the same. Learn more here!

• Benefits and Total Rewards: Our Total Rewards package goes beyond just compensation and insurance. It includes a mix of traditional and unique benefits, perks, and resources designed to enhance your life both at work and at home. Learn more here!

Join the LPL team and help us reputed company a difference by turning life’s aspirations into financial realities. Please log in or create an account to apply to this position. Principals only. EOE.

Information on Interviews:

LPL will only communicate with a job applicant directly from an @lplfinancial.com email address and will never conduct an interview online or in a chatroom forum.  During an interview, LPL will not request any form of payment from the applicant, or information regarding an applicant’s bank or credit card.  Should you have any questions regarding the application process, please contact LPL’s Human Resources Solutions Center at (855) 575-6947.

EAC12.9.25