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Supervisory Principal

Job ID: R-001599 Date posted: 10/23/2017 Primary Location CA-San Diego

Our Regional Supervisory Principal, Home Office Supervision is the first line supervisor for HOS advisors and OSJ managers in their designated region. The Regional Supervisory Principal (RSP) is charged with maintaining ongoing relationships with their designated advisors and OSJs to educate, guide, and assist them with their compliance responsibilities. They will act as a point of contact and assist where necessary to help build compliant business partnerships with LPL Financial.

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

Specific areas of responsibility include, but are not limited to:

  • First line supervisory responsibility for assigned advisors and OSJ Managers as part of a supervisory team
  • Maintains ongoing positive relationship as a first line Supervisor, guide and resource to all HOS advisors and OSJ Managers and support staff in collaboration with the Regional Territory Manager (RTM) and Business Consulting
  • Ensures advisor and OSJ understanding and compliance with all firm and industry requirements by proactively communicating the firm’s policies and procedures
  • 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
  • Identifies suspicious patterns in sales and business practice. Conducts investigations and takes appropriate corrective action as needed in collaboration with the RTM and other internal business units
  • Identifies and executes training based on advisor needs and opportunities
  • 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
  • Acts as a conduit of information between the Home Office and the field to assist with problem solving.
  • Assist with regulatory exams and requests as well as assist with other internal investigations and reviews relative to supervised advisors and OSJs

Qualifications:

  • Undergraduate degree in Business, Accounting, Finance or related discipline
  • 7+ years industry experience
  • Series 7, 9 and 10 (or Series 24); Series 4 & 53 required or must pass within 90 days of employment (for candidates with S24)
  • Series 66 (or S63 and S65) preferred
  • Experience with all Microsoft applications, particularly, Excel, Word, Access, PowerPoint, SharePoint, and Visio. Familiarity with BETA a plus

Other Job Duties:

  • Knowledge of mutual funds, annuities, general securities, and other financial products required
  • Ability to work in a fast paced/high volume environment and be flexible with work schedule
  • Strong knowledge of FINRA SEC, and state rules and regulations
  • Ability to develop compliance systems and strategies for effective supervision
  • Ability to multi-task, strong attention to detail, excellent problem-solving and follow-up skills are essential for this position
  • Excellent oral and written communication skills
  • Ability to make regulatory and supervisory-based decisions will be necessary to complete the day-to-day functions of the role and for staff support in their role as Branch Office Manager
  • Proactive collaboration and service-based responses with business partners on escalated issues and concerns is essential
  • Excellent management and human relations skills

Our Company:

LPL Financial, the nation’s largest independent broker/dealer since 1996* and the fourth largest broker/dealer overall, serves as an enabling partner to more than 14,000 independent financial advisors and approximately 700 financial institutions. Since its formation decades ago, LPL has focused on one primary mission -- enabling independent financial advisors to bring objective and un-biased financial advice to millions of Americans. 

Headquartered in Boston, San Diego, and Fort Mill, and powered by more than 3,300 client-centric employees, LPL is financially strong and growing.

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 login or create an account to apply to this position. Principals only. EOE

*As reported by Financial Planning magazine, June 1996-2017, based on total revenue.

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