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 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.
The Regional Supervisory Principal, Home Office Supervision is responsible for the holistic supervision of HOS advisors and OSJ managers in their designated region. The Regional Supervisory Principal (RSP) is responsible for resolving escalated, complex issues received by the supporting supervisory team while. Responsible for maintaining ongoing relationships to HOS advisors and/or OSJ managers by acting as a main point 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.
o First line supervisory responsibility for HOS advisors and/or OSJ managers o Responsible for researching and resolving sales practice concerns escalated by the supervisory team and other departments within Compliance, Legal and Risk o Proactively engage with regional supervisory team on a daily basis to form a collaborative environment amongst team members o Ensures advisor and OSJ understanding and compliance with all firm and industry requirements by proactively communicating the firm’s policies and procedures o Strong soft skills and ability to provide exceptional service while maintaining positive relationships to HOS advisors, OSJ Managers and support staff o Must have the ability to communicate across all departments at LPL to resolve escalated issues o Act as main point of contact for supervision related questions o Engages 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 o Identifies suspicious patterns in sales and business practice. Conducts investigations and appropriate corrective action, as needed, in collaboration with supervision management and other internal business units o Identifies and executes training based on advisor needs and opportunities o Actively monitor the supervisory systems for their assigned advisors and OSJs and assist 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 o Acts as a conduit of information between the Home Office and the field to assist with problem solving. o Assist with regulatory exams and requests as well as assist with other internal investigations and reviews relative to supervised advisors and OSJs
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.
• Undergraduate degree in Business, Accounting, Finance, or related discipline preferred • A minimum of 7+ years compliance and industry experience including minimum of 3 years in a direct supervisory capacity • 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)
• Extensive knowledge of mutual funds, annuities, alternative investments, general securities, and other financial products required & strong knowledge of FINRA SEC, and State rules and regulations
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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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.