LPL Financial · 3 hours ago
Senior Regional Supervisory Principal
United States
Full-time
Remote
Senior Level, Lead/Staff
$84K/yr - $140K/yr
7+ years expLPL Financial is among the fastest growing wealth management firms in the U.S. and they are seeking a Senior Regional Supervisory Principal to oversee the compliance responsibilities of financial advisors and OSJ managers. The role involves maintaining relationships, ensuring compliance with regulatory standards, and providing guidance and support to advisors.
FinanceFinancial Services
Responsibilities
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
Act as a point of contact and help provide guidance and information to help solve minor day-to-day questions and issues
Participate in special projects, as requested by Management
Qualification
Required
Undergraduate degree in Business, Accounting, Finance or related discipline
7+ years industry experience
Licenses/Certifications Required/Preferred: 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) preferred
Experience with all Microsoft applications, particularly, Excel, Word, Access, PowerPoint, SharePoint, and Visio. Familiarity with BETA a plus
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
Benefits
401K matching
Health benefits
Employee stock options
Paid time off
Volunteer time off
Company
LPL Financial
LPL Financial provides investment solutions and tools for independent financial advisors.
5001-10000 employees
H1B Sponsorship
LPL Financial has a track record of offering H1B sponsorships. Please note that this does not
guarantee sponsorship for this specific role. Below presents additional info for your
reference. (Data Powered by US Department of Labor)
Distribution of Different Job Fields Receiving Sponsorship
Represents job field similar to this job
Trends of Total Sponsorships
2025 (106)
2024 (105)
2023 (122)
2022 (127)
2021 (65)
2020 (44)
Funding
Current Stage
Public CompanyTotal Funding
$2.5B2025-03-31Post Ipo Equity· $1.5B
2024-06-03Post Ipo Debt· $1B
2010-11-18IPO
Leadership Team
Rich Steinmeier
Interim CEO
Sid Vyas
Chief Technology Officer/EVP
Recent News
2026-01-23
2026-01-23
Company data provided by crunchbase