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Supervisory Principal at LPL Financial - ApplyBlast

Supervisory Principal

LPL Financial

5 months ago

3.5 on Glassdoor

Hybrid

Full Time

Senior

0 applicants

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About this role

The Supervisory Principal serves as a subject matter expert for LPL Financial Advisors, focusing on transaction suitability and regulatory compliance for complex financial products. The role involves supervising adherence to agency standards, leading investigations into questionable sales, and assisting with regulatory exams. Additionally, the position entails project planning, issue resolution, and maintaining supervisory procedures within the Complex Product Supervision division.

Responsibilities

Review and approve suitability for complex financial transactions
Act as liaison with vendors and wholesalers regarding product terms
Assist with regulatory exams and maintenance of supervisory procedures
Lead investigations of questionable sales activity
Interpret firm policies and incorporate regulatory updates into daily processes

Skills

Qualifications

Undergraduate degree in Business, Accounting, FinanceSeries 7 LicenseSeries 66 License

About LPL Financial

lpl.com

Headquarters

San Diego, California, United States

Company Size

5001-10000 employees

Founded

1989

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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.