AVP, Regional Supervisory Principal
LPL Financial
full-time
Posted on:
Location Type: Remote
Location: North Carolina • United States
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Salary
💰 $104,674 - $174,456 per year
Job Level
About the role
- 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
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
Applicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Soft Skills
strong organizational skillsself-starterability to work independentlystrong industry acumen
Certifications
Series 7Series 9Series 10Series 24Series 4Series 53Series 66Series 63Series 65