Supervisory Principal

Supervisory Principal

The Supervisory Principal, as part of the Complex Product Supervision Specialized Services within our Supervision Client Success division, will be responsible for serving as a subject matter expert for LPL Financial Advisors across the country. This position will be responsible for supervising the suitability for transactions in a variety of complex products, ensuring that the assigned advisors are meeting the standards and requirements of supervision set forth by regulatory agencies and the Firm. The Senior Supervisory Principal will also be responsible for leading junior staff and providing project support.

Responsibilities :

• Suitability review and approval of transactions in certain product specific areas such as alternative investments, structured products, exchange traded products and others as needed.
• Become a subject matter expert and liaison with vendors and wholesalers.
• Assist with regulatory exams and requests as well as assist with the maintenance of the supervisory procedures.
• Project management, planning and issue resolution : this role will be relied upon to handle complex issues and aggressive deadlines.
• Leading investigations of questionable sales activity and work with a Senior Analyst or Manager on resolution.
• Keeping up to date with company and industry regulations; ability to interpret firm policies and procedures and incorporate into daily processes.
• Routinely interacts within a team environment to identify potential sales practice concerns, initiate escalations, and consult on problematic clients or branches.
• Provide awareness across all BRM departments of any investigations, escalations, or emerging risks involving advisors and OSJs.

What are we looking for?

We're looking for strong collaborators who deliver exceptional client experiences and thrive in fast-paced, team-oriented environments. Our ideal candidates pursue greatness, act with integrity, and are driven to help our clients succeed. We value those who embrace creativity, continuous improvement, and contribute to a culture where we win together and create and share joy in our work.

Requirements :

Core Competencies :

Preferences :

Pay Range : $60,900-$101,500 / 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!

LPL Financial Holdings Inc. (Nasdaq : LPLA) is among the fastest growing wealth management firms in the U.S. As a leader in the financial advisor-mediated marketplace. LPL supports over 29,000 financial advisors and the wealth-management practices of 1,100 financial institution, servicing and custodying approximately $1.9 trillion in brokerage and advisory assets on behalf of approximately 7 million Americans. The firm provides a wide range of advisor affiliation models, investment solutions, fintech tools and practice management services, ensuring that advisors and institutions have the flexibility to choose the business model, services, and technology resources they need to run thriving businesses.

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.