Sr Regional Supervisory Principal

📋 Description

• • The Sr Regional Supervisory Principal at LPL Financial is a senior leadership role responsible for the holistic supervision of Home Office Supervision (HOS) advisors and Office of Supervisory Jurisdiction (OSJ) managers within a designated region, ensuring compliance with regulatory standards and firm policies while driving advisor success and client outcomes.
• • Day to day, the role involves resolving escalated and complex supervisory issues, maintaining ongoing relationships with advisors and OSJ managers as a primary point of contact, guiding them on compliant business practices, and collaborating with a supervisory team to ensure adherence to FINRA, SEC, and state regulations.
• • LPL Financial is a leading independent broker-dealer supporting over 32,000 financial advisors and approximately $2.3 trillion in assets, fostering an innovative, collaborative environment where advisors have the freedom to choose their business model and technology to best serve clients.
• • In this role, the individual will deepen expertise in financial services regulation, enhance leadership and complex problem-solving skills, drive operational excellence in supervision, and contribute to a culture of integrity, innovation, and client-centered impact across a national wealth management platform.