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Supervisory Principal

Job ID: R-008643 Date posted: 02/18/2020 Primary Location CA-San Diego

Supervisory Principal, Compliance, Legal & Risk

The Supervisory Principal position is a full time role located in San Diego, CA.  The Supervisory Principal will primarily be responsible for assisting the firm with oversight of consolidated reports prepared by our advisors and disseminated to their clients. This position will be responsible for assessing the validity of assets and their respective valuations to prevent misuse and fraud.

Duties and Responsibilities May Include:

  • Perform daily and periodic analysis and supervision of consolidated reporting activity
  • Ensure Advisors are meeting the standards and requirements set by regulatory agencies and LPL
  • Act proactively to identify and escalate potential issues or risks
  • Report status of assigned projects and make management aware of roadblocks which might impact the timeliness of completion
  • Assist in the creation and execution of initiatives to improve and streamline procedures
  • Keep current with firm-wide and financial services industry regulations; ability to interpret firm policies and procedures and incorporate into daily processes
  • Develop and deliver training to internal business units, as necessary
  • Provide backup to other team members with various projects, tasks or cross training needs

Skills:

  • Ability to identify and escalate potential compliance issues or red flags
  • Proactive collaboration and service-based responses with business partners on escalated issues
  • A passion for improving processes so they can be followed easily and lead to excellent results
  • Ability to develop compliance systems and strategies for effective supervision
  • Ability to work in a fast paced/high volume environment and be flexible with work schedule
  • Ability to manage simultaneous cases through effective planning, organization, and persistent follow-up

Qualifications:

  • Minimum of 2 years of previous securities industry experience, directly in a compliance or supervision related function desired
  • Series 7 & 24 required
  • Experience with all Microsoft applications, particularly, Excel, PowerPoint, SharePoint, and Visio.
  • Familiarity with BETA a plus
  • Excellent oral and written communication skills

About LPL Financial:

LPL Financial is a leader in the retail financial advice market and the nation’s largest independent broker/dealer*. We serve independent financial advisors and financial institutions, providing them with the technology, research, clearing and compliance services, and practice management programs they need to create and grow thriving practices. LPL enables them to provide objective guidance to millions of American families seeking wealth management, retirement planning, financial planning and asset management solutions. LPL and its affiliates have more than 4,200 employees with primary offices in Boston, Charlotte, and San Diego.

*As reported by Financial Planning magazine, June 1996-2019, based on total revenue.

Our Culture:

If you join LPL, you will join a culture that believes in delivering a world-class client experience and looks to all employees to contribute to that goal by sharing their creativity, experience, and passion for continuous improvement. As a destination of choice, our top priorities are growth and development, social responsibility, and financial health for our employees. 

We offer competitive compensation and industry leading benefits, including a wellness facility with onsite fitness classes, healthy meal choices, and a walk-in clinic. We support employee financial health through a 401k match, ESPP, and employee discounts. Work/life balance is our foundation and is supported through paid holidays, and paid time off (including time to volunteer). We foster a diverse work environment through Employee Resource Groups and diverse strategic partnerships.  

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 @lpl.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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