Senior Regional Supervisory Principal

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.