Supervisory Principal

Are you solution-oriented and passionate about delivering results? Do you like thinking outside the box, learning new skills and problem solving?

Excited to learn more? If so, then this could be the role for you!

LPL Financial (Nasdaq: LPLA) was founded on the principle that the firm should work for the advisor, and not the other way around. Today, LPL is a leader* in the markets we serve, supporting more than 18,000 financial advisors, 800 institution-based investment programs and 450 independent RIA firms nationwide. We are steadfast in our commitment to the advisor-centered model and the belief that Americans deserve access to personalized guidance from a financial advisor. At LPL, independence means that advisors have the freedom they deserve to choose the business model, services, and technology resources that allow them to run their perfect practice. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors, so they can take care of their clients.

Job Overview:

We are currently looking to hire a Supervisory Principal on the Advisor Review team in Supervision within the Client Success Organization. The Advisor Review Supervisory Principal is a first line defense function responsible for the reviews of high risk representatives wishing to join LPL Financial, reviews of Outside Business Activity and Private Securities Transaction Requests for advisors as well as “day one” marketing materials for new offices joining LPL Financial. The Supervisory Principal will work closely several departments/groups throughout LPL.

Responsibilities:

First line supervisory responsibility to conduct due diligence review on prospective representatives of LPL Financial.

Review requests for Outside Business Activities & Private Securities Transactions submitted by advisors

First line supervisory responsibility to conduct due diligence review on Office Sharing Arrangements

Review “day one” marketing materials (letterhead, business cards etc…) for new offices to LPL

Interact with advisors, business consultants and various internal departments as well as senior levels of management in fully evaluating and communicating compliance determination, as well as, coordination of special projects and investigations

Work with assigned business units and provide supervisory expertise and consulting for projects and initiatives

Assist with regulatory exams and requests as well as assist with other internal investigations and reviews

Perform other duties and complete ad hoc projects as assigned

What are we looking for?

We want strong collaborators who can deliver a world-class client experience. We are looking for people who thrive in a fast-paced environment, are client-focused, team oriented, and are able to execute in a way that encourages creativity and continuous improvement

Requirements:

Licenses/Certifications Required: FINRA Series 7, Series 24, Series 63 (or 66)

Minimum of 3-5 years industry experience

Core Competencies:

Ability to work in a fast paced/high volume environment and be flexible with work schedule

Knowledge of FINRA SEC, and State rules and regulations

Ability to multi-task, strong attention to detail, excellent problem-solving and follow-up skills are essential for this position

Excellent oral and written communication skills

Ability to make regulatory and risk-based decisions will be necessary to complete the day-to-day functions of the role

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

Preferences:

Undergraduate degree in Business, Accounting, Finance or related discipline preferred

Experience with Adobe, all Microsoft applications, particularly, Excel, Word, Access, PowerPoint, SharePoint, and Visio. Familiarity with Salesforce and Oracle a plus

Pay Range: $62,200-$93,300/year

Actual base salary varies based on factors, including but not limited to, relevant skill, prior experience, education, base salary of internal peers, demonstrated performance, and geographic location. Additionally, LPL Total Rewards package is highly competitive, designed to support your success at work, at home, and at play – such as 401K matching, health benefits, employee stock options, paid time off, volunteer time off, and more. Your recruiter will be happy to discuss all that LPL has to offer!

Why LPL?

At LPL, we believe that objective financial guidance is a fundamental need for everyone. As the nation’s leading independent broker-dealer, we offer an integrated platform of proprietary technology, brokerage, and investment advisor services. We provide you with a work environment that encourages your creativity and growth, a leadership team that is supportive and responsive, and the opportunity to create a career that has no limits, only amazing potential.

We are one team on one mission. We take care of our advisors, so they can take care of their clients.

Because our company is not too big and not too small, you can seize the opportunity to make a real impact. We are committed to supporting workplace equality, and we embrace the different perspectives and backgrounds of our employees. We also care for our communities, and we encourage our employees to do the same. This creates an environment in which you can do your best work.

Want to hear from our employees on what it’s like to work at LPL? Watch this!

We take social responsibility seriously. Learn more here

Want to see info on our benefits? Learn more here

Join the LPL team and help us make a difference by turning life’s aspirations into financial realities. Please log in or create an account to apply to this position. Principals only. EOE.

Information on Interviews:

LPL will only communicate with a job applicant directly from an @lplfinancial.com email address and will never conduct an interview online or in a chatroom forum. During an interview, LPL will not request any form of payment from the applicant, or information regarding an applicant’s bank or credit card. Should you have any questions regarding the application process, please contact LPL’s Human Resources Solutions Center at .

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