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Supervisory Principal

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Job ID R-025184 Date posted 09/07/2022 Primary Location USA-Remote

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!

Job Overview:

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.

Responsibilities:

  • 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

Qualifications:

  • Licenses/Certifications Required: FINRA Series 7, Series 24
  • Undergraduate degree in Business, Accounting, Finance or related discipline preferred
  • Minimum of 3-5 years industry experience
  • Experience with all Microsoft applications, particularly, Excel, Word, Access, PowerPoint, SharePoint, and Visio. Familiarity with Salesforce and Oracle a plus

Other Job Duties:

  • 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

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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Video Called We are LPL

Here from our
employees on what it's like to work at lpl?

Learn More

We take social responsibility seriously.

Learn More

Want to see info on our benefits?

Learn More

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