Senior Regional Supervisory Principal
LPL Financial(26 days ago)
About this role
A Senior Regional Supervisory Principal, Home Office Supervision at LPL Financial is the first-line supervisor responsible for maintaining relationships with assigned advisors and OSJ managers to ensure adherence to firm and regulatory standards. The role acts as a primary point of contact between the Home Office and field, supporting compliance, education, and escalation resolution across a designated region. It emphasizes promoting compliant business practices and supporting the firm’s supervisory framework.
Required Skills
- Supervision
- Compliance
- Regulatory Knowledge
- Risk Management
- Investigations
- Training
- Stakeholder Management
- Microsoft Excel
- Communication
- Relationship Building
Qualifications
- Undergraduate Degree
- Series 7
- Series 9
- Series 10
- Series 24
- Series 4
- Series 53
- Series 66
- Series 63
- Series 65
About LPL Financial
lpl.comA leading wealth management firm for independent advisors across the U.S., LPL’s technology and resources can help you and your clients succeed. Learn more.
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