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Supervisory Principal

Job ID: R-017357 Date posted: 09/10/2021 Primary Location SC-Fort Mill

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? If so, LPL Financial is the place for you!

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 19,000 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 objective 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.

Job overview -

The Supervisory Principal within Central Supervision will work with a team of fellow analysts to support the Regional Supervisory Principals located in an assigned region.  The Supervisory Principal will be responsible for completing front-line supervisory tasks on a daily basis and reporting potential sales practice concerns to the Regional Supervisory Principal. Great emphasis will be placed upon completing tasks according to the established Service Level Agreements and at a high level of quality.

What will you do? –

  • Review of securities transactions on the electronic trade blotter including but not limited to equities, fixed income, mutual funds, UITs, municipal securities, and 529 transactions.
  • Review of account-level suitability alerts for brokerage and advisory accounts using LPL’s electronic supervisory tool suite.
  • Review and approval of account documentation and correspondence.
  • Analysis of transaction activity and identification of potential sales practice concerns.
  • Collaboration with Regional Supervisory Principals and other business partners to escalate and resolve sales practice concerns. 

What does your success look like in the first 90 days? -

  • Work within a team environment to identify potential sales practice concerns.
  • Provide consultative support to clients.
  • Provide awareness across all BRM departments of any investigations, escalations, or emerging risks involving advisors and OSJs.
  • Knowledge of mutual funds, annuities, general securities, and other financial products required.
  • Knowledge of FINRA, SEC, and State rules and regulations required.
  • Ability to work in a fast-paced/high volume environment and be flexible with work schedule.
  • 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.
  • Proactive collaboration and service-based responses with business partners on escalated issues.
  • Ability to develop compliance systems and strategies for effective supervision.

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

What skills, experiences, and education are required? -

  • Undergraduate degree in Business, Accounting, Finance or related discipline.
  • 4+ year’s industry experience in a compliance-related function.
  • Series 7, 63 or 66, 24, 53, 4 or 9/10 required (or ability to obtain within 90 days).
  • Experience with all Microsoft applications, particularly, Excel, Word, Access, PowerPoint, SharePoint, and Visio.
  • Familiarity with BETA a plus.

Why LPL? 

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.

Want to hear from our employees on what it’s like to work at LPL?  Watch this!

We take social responsibility seriously. Learn more here

Want to see info on our benefits?  Learn more here

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.

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