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Sr. Supervisory Principal at LPL Financial - ApplyBlast

Sr. Supervisory Principal

LPL Financial

3 months ago

3.5 on Glassdoor

Charlotte, NC

Onsite

Full Time

Senior

0 applicants

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About this role

The Supervisory Principal at LPL Financial delivers elite, white-glove support to top-tier Financial Advisors by overseeing front-line supervisory tasks and ensuring compliance with regulations. This role involves reviewing securities transactions, managing account documentation, and acting as a subject matter expert for complex products under the direction of Regional Supervisory Principals.

Responsibilities

Review securities transactions for suitability and regulatory compliance
Manage account-level suitability alerts using electronic supervisory tools
Approve account documentation and correspondence accurately
Analyze transaction activity to identify potential sales practice concerns
Supervise advisory and RIA business models with full discretion oversight

Skills

Qualifications

Bachelor's degree in Business, Accounting, or FinanceSeries 7, 9, and 10 licenses (or Series 24)Series 4 and 53 licensesSeries 66 license (or Series 63 and 65)7+ years of compliance experience

About LPL Financial

lpl.com

Headquarters

San Diego, California, United States

Company Size

5001-10000 employees

Founded

1989

View Profile

A 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.