Senior Regional Supervisory Principal
LPL Financial
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.
Skills
Qualifications
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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About LPL Financial
Headquarters
San Francisco, CA
Company Size
201-500 employees
Founded
2018
Industry
Technology
Glassdoor Rating
4.2 / 5
Leadership Team
Sarah Johnson
Chief Executive Officer
Michael Chen
Chief Technology Officer
Emily Williams
VP of Engineering
David Rodriguez
VP of Product
Jessica Thompson
Chief Financial Officer
Andrew Park
VP of Sales
Unlock Company Insights
View leadership team, funding history,
and employee contacts for LPL Financial.
Salary
$84k – $140k
per year
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