Job details

Senior Regional Supervisory Principal

Get a free resume review

Home Office Supervision Principal will have an understanding of the financial services industry; rules, regulations, and policies of LPL Financial and our various regulatory bodies; and excellent customer service skills.

The Regional Supervisory Principal, Home Office Supervision is responsible for the holistic supervision of HOS advisors and OSJ managers in their designated region.

The Regional Supervisory Principal (RSP) is responsible for resolving escalated, complex issues received by the supporting supervisory team while also maintaining ongoing relationships to HOS advisors and/or OSJ managers by acting as a main point of contact to educate, guide, and assist them with maintaining a compliant business.

The Regional Supervisory Principal 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.

Licensing Requirements: FINRA Series 7, 9 &10 or Series 24, required; Series 66 or S63 and S65. must pass within 120 days following employment, Series 4 & 53, preferred.

Required Qualifications

Undergraduate degree in Business, Accounting, Finance or related discipline
7+ years industry experience
A minimum of 3 years in a direct supervisory capacity
Experience with all Microsoft applications, particularly, Excel, Word, Access, PowerPoint, and Visio
Knowledge of life insurance, mutual funds, annuities, general securities, alternative investments, and other financial products required
Knowledge of FINRA, SEC, and State rules and regulations

Key Skills

Customer Focus
Complex Problem Solving
Planning & Alignment
Collaboration
Time Management & Organization
Proactive Service & Consultation Mindset
Risk Management
Innovation

Pay Range:

$71,925-$119,875/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!

Company Overview:

LPL Financial Holdings Inc. (Nasdaq: LPLA) was founded on the principle that the firm should work for advisors and institutions, and not the other way around. Today, LPL is a leader in the markets we serve, serving more than 23,000 financial advisors, including advisors at approximately 1,000 institutions and at approximately 580 registered investment advisor ("RIA") firms nationwide. We are steadfast in our commitment to the advisor-mediated model and the belief that Americans deserve access to personalized guidance from a financial professional.

At LPL, independence means that advisors and institution leaders have the freedom they deserve to choose the business model, services, and technology resources that allow them to run a thriving business. They have the flexibility to do business their way. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors and institutions, so they can take care of their clients.

Join LPL Financial: Where Your Potential Meets Opportunity

At LPL Financial, we believe that everyone deserves objective financial guidance. As the nation’s leading independent broker-dealer, we offer an integrated platform of cutting-edge technology, brokerage, and investment advisor services.

Why LPL?

Innovative Environment: We foster creativity and growth, providing a supportive and responsive leadership team. Learn more about our leadership team here!
Limitless Career Potential: Your career at LPL has no limits, only amazing potential. Learn more about our careers here!
Unified Mission: We are one team on one mission—taking care of our advisors so they can take care of their clients. Learn more about our mission and values here!
Impactful Work: Our size is just right for you to make a real impact. Learn more here!
Commitment to Equality: We support workplace equality and embrace diverse perspectives and backgrounds. Learn more here!
Community Focus: We care for our communities and encourage our employees to do the same. Learn more here!
Benefits and Total Rewards: Our Total Rewards package goes beyond just compensation and insurance. It includes a mix of traditional and unique benefits, perks, and resources designed to enhance your life both at work and at home. 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 (855) 575-6947.

EAC1.22.25

Average salary estimate

$95900 / YEARLY (est.)

min

max

$71925K

$119875K

If an employer mentions a salary or salary range on their job, we display it as an "Employer Estimate". If a job has no salary data, Rise displays an estimate if available.

What You Should Know About Senior Regional Supervisory Principal, LPL Financial

Are you ready to take your career to the next level? Join LPL Financial as a Senior Regional Supervisory Principal based in Fort Mill/Charlotte! In this vital role, you'll be at the forefront of supervising our Home Office Supervision (HOS) advisors and Office of Supervisory Jurisdiction (OSJ) managers across your designated region. At LPL Financial, we pride ourselves on our commitment to offering tailored financial guidance to our clients, and as a Senior Regional Supervisory Principal, you’ll ensure our advisors maintain compliance with industry regulations while helping them thrive in their business. Your day-to-day will involve resolving complex issues escalated by the supervisory team, educating and guiding HOS advisors, and establishing strong relationships with OSJ managers. With a minimum of seven years in the financial services industry and at least three years in a supervisory role, you should come equipped with an undergraduate degree in Business, Accounting, or Finance and a deep understanding of financial products like life insurance, mutual funds, and securities. Here at LPL, we foster a collaborative and innovative atmosphere that empowers you to implement effective strategies and provide proactive solutions. Our extensive support structure ensures you'll never be on this journey alone. Not only will you receive a competitive salary and benefits, but you'll also be part of a unified team dedicated to making a real impact. Ready to join us at LPL Financial? Let’s turn life’s aspirations into financial realities together!

Frequently Asked Questions (FAQs) for Senior Regional Supervisory Principal Role at LPL Financial

What are the primary responsibilities of a Senior Regional Supervisory Principal at LPL Financial?

As a Senior Regional Supervisory Principal at LPL Financial, your primary responsibilities include overseeing HOS advisors and OSJ managers in your region, resolving complex escalated issues, acting as a primary point of contact for education and guidance, and ensuring compliance with regulatory standards. This role is crucial for maintaining high standards within the financial services industry.