Senior Regional Supervisory Principal

This is a fully remote position, open to applicants in Arizona, +2 more states.

📋 Description

• Address escalated and intricate issues directed by the supervisory team.

• Cultivate ongoing relationships with Home Office Supervision advisors and/or OSJ managers.

• Serve as a primary contact to educate, guide, and support advisors and managers in maintaining a compliant business.

• Oversee assigned financial advisors to ensure adherence to regulatory agency and Firm standards and requirements.

• Deliver comprehensive supervision of Home Office Supervision advisors and OSJ managers within the specified region.

⛳️ Requirements

• FINRA Series 7, 9, and 10 (or Series 24).

• Series 4 & 53 are mandatory or must be completed within 120 days of employment (for candidates holding S24).

• Series 66 (or S63 and S65).

• Bachelor’s degree in Business, Accounting, Finance, or a related field.

• Over 7 years of industry experience.

• At least 3 years in a direct supervisory role.

• Proficient in Microsoft applications, especially Excel, Word, Access, PowerPoint, and Visio.

• Familiarity with life insurance, mutual funds, annuities, general securities, alternative investments, and other financial products.

• Understanding of FINRA, SEC, and State regulations and guidelines.

• Strong customer focus.

• Ability to solve complex problems.

• Skills in planning and alignment.

• Collaborative mindset.

• Effective time management and organizational abilities.

• Proactive service and consultation approach.

• Competency in risk management.

• Innovative thinking.

🏝️ Benefits

• 401K matching.

• Health benefits.

• Employee stock options.

• Paid time off.

• Volunteer time off.

• Competitive LPL Total Rewards package.