Supervisory Principal - Central Supervision Principal
LPL Financial
San Diego, CA, US
Base: $69,000-$115,000pyear; bonus/equity: not spe...
Fully remote
Front-line supervisory tasks
Review of securities transactions
Compliance with finra and sec regulations
The Supervisory Principal is responsible for completing front-line supervisory tasks daily and reporting potential sales practice concerns to the Regional Supervisory Principal
Job Summary
The Supervisory Principal is responsible for completing front-line supervisory tasks daily and reporting potential sales practice concerns to the Regional Supervisory Principal.
LPL Financial offers a highly competitive Total Rewards package including 401K matching, health benefits, employee stock options, paid time off, and volunteer time off.
LPL Financial fosters a collaborative and innovative environment with limitless career potential and a unified mission to support advisors and their clients.
Matching Summary
The Supervisory Principal is responsible for completing front-line supervisory tasks daily and reporting potential sales practice concerns to the Regional Supervisory Principal.
Salary
Base: $69,000-$115,000/year; Bonus/Equity: Not specified; Benefits: 401K matching, health benefits, employee stock options, paid time off, volunteer time off
Skills & Requirements
Must-have
Front-line supervisory tasks
Review of securities transactions
Compliance with FINRA and SEC regulations
Use of electronic supervisory tools
Supervisory oversight of complex products
Collaboration with regional principals
High volume environment adaptability
Nice-to-have
Strong collaboration skills
Exceptional client experience delivery
Creativity and continuous improvement mindset
Proactive service-based responses
Excellent communication skills
Problem-solving and follow-up skills
Team-oriented environment adaptability
Key Requirements
Undergraduate degree in Business, Accounting, or Finance
5+ years industry experience in compliance
Series 7, 24 or Series 9 and 10; Series 4 and 53 required
Series 66 or Series 63 and 65 required
Knowledge of FINRA, SEC, and State regulations
Must pass required licenses within 120 days if not held