LPL Financial

We take care of our advisors, so they can take care of their clients.

AVP, Regional Supervisory Principal

Vice PresidentVice PresidentFull TimeRemoteTeam 5,001-10,000Since LPL FinancialH1B SponsorCompany SiteLinkedIn

Location

North Carolina

Posted

4 days ago

Salary

$104.7K - $174.5K / year

Bachelor Degree7 yrs expEnglish

Job Description

• 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 • Ensure advisor and OSJ understanding and compliance with all firm and industry requirements • Act as main point of contact for supervision related questions • Conduct investigations and appropriate corrective action in collaboration with supervision management • Identify suspicious patterns in sales and business practice

Job Requirements

  • A minimum of 7-10 years’ experience in supervision, compliance and/or regulatory matters
  • Series 7, 9 and 10 (or Series 24), Series 4 and 53, and Series 66 (or Series 63 and 65)
  • Strong industry acumen, self-starter and the ability to work independently
  • Must work well under competing deadlines and possess strong organizational skills

Benefits

  • 401K matching
  • health benefits
  • employee stock options
  • paid time off
  • volunteer time off

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