Sr Regional Supervisory Principal

Job description

Where Ambition Meets Innovation Build a career that matches all your initiative with an impressive dose of innovation. From cutting-edge resources and a collaborative environment to the freedom to make an impact and more, you’ll find the ingredients you need at LPL Financial to shape your success while helping clients pursue their financial goals. Job Overview: Home Office Supervision Principal will have an understanding of the financial services industry; rules, regulations, and policies of LPL Financial and our various regulatory bodies; and excellent customer service skills. The Regional Supervisory Principal, Home Office Supervision is responsible for the holistic supervision of HOS advisors and OSJ managers in their designated region. Responsibilities: The Regional Supervisory Principal (RSP) is responsible for resolving escalated, complex issues received by the supporting supervisory team. Responsible for maintaining ongoing relationships to HOS advisors and/or OSJ managers by acting as a main point of contact to educate, guide, and assist them with maintaining a compliant business. The Regional Supervisory Principal will be supported by a supervisory team responsible for ens...