AVP, Regional Supervisory Principal

Job Overview

What if you could build a career where ambition meets innovation? At LPL Financial, we empower professionals to shape their success while helping clients pursue their financial goals with confidence. What if you could have access to cutting‑edge resources, a collaborative environment, and the freedom to make an impact? If you're ready to take the next step, discover what’s possible with LPL Financial.

• 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 amongst team members
• Ensures advisor and OSJ understanding and compliance with all firm and industry requirements by proactively communicating the firm’s policies and procedures
• Strong soft skills and ability to provide exceptional service while maintaining positive relationships to HOS advisors, OSJ Managers and support staff
• Must have the ability to communicate across all departments at LPL to resolve escalated issues
• Act as main point of contact for supervision related questions
• Engages in regular supervisory office visits (SOV’s) with assigned HOS advisors and OSJ Managers in order to promote company supervisory practices, follow up on audit findings and proactively addressing potential compliance issues to minimize risk to the client, the OSJ and the firm
• Identifies suspicious patterns in sales and business practice. Conducts investigations and appropriate corrective action, as needed, in collaboration with supervision management and other internal business units
• Identifies and executes training based on advisor needs and opportunities
• Actively monitor the supervisory systems for their assigned advisors and OSJs and assist in the resolution of heightened transaction review issues and various other situations where the first line supervisor must be involved and make the final decision
• Acts as a conduit of information between the Home Office and the field to assist with problem solving.
• Assist with regulatory exams and requests as well as assist with other internal investigations and reviews relative to supervised advisors and OSJs
• Service Management – Will be responsible for leading and supporting their management and supervisory pod with escalations while maintaining positive relationships with Advisors and stakeholders throughout the firm. The Assistant Vice President will engage and coordinate with key business leaders as well as other internal departments to socialize concerns and escalated matters with senior leaders as needed. The Assistant Vice President will be supported by a supervisory team responsible for ensuring that the assigned financial advisors are meeting the standards and requirements of supervision set forth by regulatory agencies and the Firm.

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.

• 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). Candidates who have not yet obtained one of the required licenses will be permitted up to 120 days from their start date to complete it.

• Must possess the ability to interpret FINRA, SEC, and state regulations and develop and apply certain policies and procedures within the scope of the current regulatory environment in an attempt to mitigate risk and protect the firm.
• Strong industry acumen, self‑starter and the ability to work independently
• Ability to multi‑task, prioritize, problem solve, troubleshoot and follow‑up are essential in this role
• Ability to identify problem areas, analyze risk for LPL Financial and develop policy, procedure and controls to effectively supervise and mitigate said risk
  
  Must work well under competing deadlines and…