55 applicants

Company

LPL Financial · 5 days ago

Senior Regional Supervisory Principal

Remote California

Full-time

Remote

Senior Level

7+ years exp

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FinanceFinancial Services

H1B Sponsor Likely

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Responsibilities

First line supervisory responsibility for HOS advisors and/or OSJ managers

Proactively engage with supervisory team on a daily basis to form a collaborative environment amongst team members

Ensures advisor and OSJ understanding and compliance with all firm and industry requirements by proactively communicating the firm’s policies and procedures

Strong soft skills and ability to provide exceptional service while maintaining positive relationships to HOS advisors, OSJ Managers and support staff

Must have the ability to communicate across all departments at LPL to resolve escalated issues

Act as main point of contact for supervision related questions

Engages in regular supervisory office visits (SOV’s) with assigned HOS advisors and OSJ Managers in order to promote company supervisory practices, follow up on audit findings and proactively addressing potential compliance issues to minimize risk to the client, the OSJ and the firm

Identifies suspicious patterns in sales and business practice. Conducts investigations and appropriate corrective action, as needed, in collaboration with supervision management and other internal business units

Identifies and executes training based on advisor needs and opportunities

Actively monitor the supervisory systems for their assigned advisors and OSJs and assist in the resolution of heightened transaction review issues and various other situations where the first line supervisor must be involved and make the final decision

Acts as a conduit of information between the Home Office and the field to assist with problem solving.

Assist with regulatory exams and requests as well as assist with other internal investigations and reviews relative to supervised advisors and OSJs

Responsible for leading and supporting their management and supervisory pod with escalations while maintaining positive relationships with Advisors and stakeholders throughout the firm.

Engage and coordinate with key business leaders as well as other internal departments to socialize concerns and escalated matters with senior leaders as needed.

Will be supported by a supervisory team responsible for ensuring that the assigned financial advisors are meeting the standards and requirements of supervision set forth by regulatory agencies and the firm.

Qualification

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Supervision experienceCompliance knowledgeRegulatory mattersSeries 7Series 9Series 10Series 24Series 4Series 53Series 66FINRA regulationsSEC regulationsState regulationsClient facing experience

Required

7+ years of experience in supervision, compliance and/or regulatory matters

Series 7, 9 AND 10 (OR Series 24); Series 4 AND 53 required OR must pass within 120 days of employment (for candidates with S24); Series 66 (OR S63 AND S65)

Must possess the ability to interpret FINRA, SEC, and state regulations and develop and apply certain policies and procedures within the scope of the current regulatory environment in an attempt to mitigate risk and protect the firm.

Strong industry acumen, self-starter and the ability to work independently

Ability to multi-task, prioritize, problem solve, trouble shoot, and follow-up are essential in this role

Ability to identify problem areas, analyze risk for LPL Financial and develop policy, procedure and controls to effectively supervise and mitigate said risk

Must work well under competing deadlines and possess strong organizational skills

Excellent oral and written communication skills

Proactive collaboration and service-based responses with business partners on escalated issues and concerns is essential

Time management and Organization skills

Preferred

Previous client facing roles

Company

LPL Financial

Glassdoor

3.9

LPL Financial is an independent broker-dealer.

Founded in 1968

Boston, Massachusetts, USA

5001-10000 employees

https://www.lpl.com

H1B Sponsorship

LPL Financial has a track record of offering H1B sponsorships. Please note that this does not guarantee sponsorship for this specific role. Below presents additional info for your reference. (Data Powered by US Department of Labor)

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Trends of Total Sponsorships

2023 (103)

2022 (108)

2021 (91)

2020 (42)