Senior Regional Supervisory Principal

🔥 6 minutes ago

🌵 Arizona, California, +1 more states – Remote

🌵 Arizona – Remote 🏄 California – Remote 🌲 Oregon – Remote

💵 $81.5k - $135.9k / year

⏰ Full Time

🟠 Senior

🦅 H1B Visa Sponsor

This company has sponsored H1B visas in the past.

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LPL Financial

WebsiteLinkedInAll Job Openings

5001 - 10000 employees

Founded LPL Financial

💼 Consulting

🛡️ Insurance

💸 Finance

Consulting • Insurance • Finance

LPL Financial is a leading provider of wealth management services, supporting financial professionals, institutions, and individual investors. With a comprehensive suite of tools and resources, LPL Financial enables advisors to build their businesses and provide personalized financial advice. They offer a wealth management platform, consulting services, technology integration, investment research, and support for both organic and inorganic growth for businesses and advisors. LPL Financial also focuses on sustainable investing and social responsibility while maintaining robust regulatory oversight.

📋 Description

• Resolve escalated, complex issues received by the supervisory team • Maintain ongoing relationships with Home Office Supervision advisors and/or OSJ managers • Act as a main point of contact to educate, guide, and assist advisors and managers with maintaining a compliant business • Supervise assigned financial advisors to ensure they meet regulatory agency and Firm standards and requirements • Provide holistic supervision of Home Office Supervision advisors and OSJ managers in the designated region

🎯 Requirements

• FINRA 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) • Undergraduate degree in Business, Accounting, Finance or related discipline • 7+ years industry experience • Minimum of 3 years in a direct supervisory capacity • Experience with Microsoft applications, particularly Excel, Word, Access, PowerPoint, and Visio • Knowledge of life insurance, mutual funds, annuities, general securities, alternative investments, and other financial products • Knowledge of FINRA, SEC, and State rules and regulations • Customer focus • Complex problem solving • Planning and alignment • Collaboration • Time management and organization • Proactive service and consultation mindset • Risk management • Innovation

🏖️ Benefits

• 401K matching • Health benefits • Employee stock options • Paid time off • Volunteer time off • Competitive LPL Total Rewards package

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