LPL Financial · 7 hours ago
Sr. Supervisory Principal
United States
Full-time
Remote
Senior Level, Lead/Staff
$74K/yr - $123K/yr
5+ years expLPL Financial is a leading wealth management firm that empowers professionals to shape their success. The Sr. Supervisory Principal will serve as a subject matter expert in supervision for LPL Financial Professionals, ensuring compliance and appropriateness of transactions in brokerage and advisory accounts.
FinanceFinancial Services
Responsibilities
Review of securities transactions on the electronic trade blotter for suitability and compliance with regulations and firm policy
Review of account-level & Reg BI alerts for brokerage and advisory accounts using LPL’s electronic supervisory tool suite
Review and approval of account documentation and correspondence
Analysis of transaction activity and identification of potential sales practice concerns
Collaboration with Regional Supervisory Principals and other business partners to escalate and resolve sales practice concerns
Subject Matter Expertise: Supervise activity within the Advisory and RIA business models
Review of full discretion and advisory fee credits/reversals
Supervisory oversight of MSRB securities (municipal bonds, 529 College Plans)
Supervisory oversight of Complex Products such as annuities, alternative investments, and structured products
Qualification
Required
Undergraduate degree in Business, Accounting, Finance or related discipline
5+ year's industry experience in a compliance related function
Series 7, 24 (OR Series 9 AND 10); Series 4 AND 53 required OR must pass within 120 days of employment (for candidates with S24); Series 66 (OR Series 63 AND 65)
Knowledge of mutual funds, annuities, general securities, and other financial products required
Knowledge of FINRA, SEC, and State rules and regulations required
Ability to work in a fast paced/high volume environment and be flexible with work schedule
Ability to multi-task, strong attention to detail, excellent problem-solving and follow up skills
Excellent oral and written communication skills
Ability to make regulatory and supervisory-based decisions
Proactive collaboration and service-based responses with business partners on escalated issues
Ability to develop compliance systems and strategies for effective supervision
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