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