Are you a team player? Are you curious to learn? Are you interested in working in meaningful projects? Do you want to work with cutting-edge technology? Are you interested in being part of a team that is working to transform and do things differently? If so, LPL Financial is the place for you!
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.
Requirements:
- Licenses/Certifications Required: FINRA Series 7, Series 24, Series 63 (or 66)
- Undergraduate degree in Business, Accounting, Finance or related discipline preferred.
- Minimum of 3-5 years industry experience
- Experience with Adobe, all Microsoft applications, particularly, Excel, Word, Access, PowerPoint, SharePoint, and Visio. Familiarity with Salesforce and Oracle a plus
Other Job Duties:
- 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.
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.
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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.