Are you a team player? Are you curious to learn? Are you interested in working in meaningful projects? Do you want to work with cutting-edge technology? Are you interested in being part of a team that is working to transform and do things differently?
Excited to learn more? If so, then this could be the role for you!
LPL Financial (Nasdaq: LPLA) was founded on the principle that the firm should work for the advisor, and not the other way around. Today, LPL is a leader* in the markets we serve, supporting more than 18,000 financial advisors, 800 institution-based investment programs and 450 independent RIA firms nationwide. We are steadfast in our commitment to the advisor-centered model and the belief that Americans deserve access to personalized guidance from a financial advisor. At LPL, independence means that advisors have the freedom they deserve to choose the business model, services, and technology resources that allow them to run their perfect practice. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors, so they can take care of their clients.
We are currently looking to hire a Supervisory Principal within the Advisor Review & OBAs area of Supervision within the Compliance, Legal and Risk (CLR) organization. The OBAs Principal is a first line defense function responsible for the review of Outside Business Activity and Private Securities Transaction Requests for advisors. The Principal will work closely several departments/groups throughout LPL.
- Review requests for Outside Business Activities & Private Securities Transactions submitted by advisors
- First line supervisory responsibility to conduct due diligence review on Office Sharing Arrangements
- Interacts with advisors, business consultants and various internal departments as well as senior levels of management in fully evaluating and communicating reviews, as well as, coordination of special projects and investigations
- Works with assigned business units and provides supervisory expertise and consulting for projects and initiatives
- Conducts OBA Monitoring Reviews
- Assist with regulatory exams and requests as well as assist with other internal investigations and reviews
- Create and analyze departmental metrics to assist to boost overall efficiency and productivity
- Performs other duties and completes ad hoc projects as assigned
What are we looking for?
We want strong collaborators who can deliver a world-class client experience. We are looking for people who thrive in a fast-paced environment, are client-focused, team oriented, and are able to execute in a way that encourages creativity and continuous improvement.
- Licenses/Certifications Required: FINRA Series 7, Series 24
- Undergraduate degree in Business, Accounting, Finance or related discipline preferred
- Minimum of 2 years industry experience
- Experience with all Microsoft applications, particularly, Excel, Word, Access, PowerPoint, SharePoint, and Visio. Familiarity with Salesforce and Oracle a plus
The salary range is dependent on a number of factors, including the applicant’s skill, experience, and work location.
At LPL, we believe that objective financial guidance is a fundamental need for everyone. As the nation’s leading independent broker-dealer, we offer an integrated platform of proprietary technology, brokerage, and investment advisor services. We provide you with a work environment that encourages your creativity and growth, a leadership team that is supportive and responsive, and the opportunity to create a career that has no limits, only amazing potential.
We are one team on one mission. We take care of our advisors, so they can take care of their clients.
Because our company is not too big and not too small, you can seize the opportunity to make a real impact. We are committed to supporting workplace equality, and we embrace the different perspectives and backgrounds of our employees.We also care for our communities, and we encourage our employees to do the same. This creates an environment in which you can do your best work.
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We take social responsibility seriously. Learn more here
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Join the LPL team and help us make 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 (800) 877-7210.