Job Overview
Location
Remote USA
Job Type
Full-time
Category
HR & Recruiting
Date Posted
April 15, 2026
Full Job Description
đź“‹ 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.
Skills & Technologies
About LPL Financial LLC
LPL Financial is a leading independent broker-dealer and registered investment advisor in the United States. The company provides a comprehensive platform of technology, research, investment products, and practice management services to financial advisors. LPL Financial enables advisors to manage their clients' investments and financial plans, offering support for retirement planning, wealth management, and insurance solutions. Their business model focuses on empowering independent financial professionals to serve their clients effectively, fostering long-term relationships and financial well-being. They operate within the financial services and wealth management industry, serving a broad network of advisors and their clients across the nation.
Subscribe to the weekly newsletter for similar remote roles and curated hiring updates.
Newsletter
Weekly remote jobs and featured talent.
No spam. Only curated remote roles and product updates. You can unsubscribe anytime.
