Supervisory Principal - Central Supervision 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: The Supervisory Principal is responsible for completing front-line supervisory tasks on a daily basis and reporting potential sales practice concerns to the Regional Supervisory Principal. Great emphasis will be placed upon completing tasks according to the established Service Level Agreements and at a high level of quality. The Supervisory Principal may also serve as the Subject Matter Expert for certain complex products, centralized review processes, and/or business models where the SP will act as the primary supervisor for all HOS, Branch OSJ, and advisors under field OSJs. Responsibilities: - Review of securities transactions on the electronic trade blotter for suitability and compliance with regulations and firm policy. - Review of account-level & Reg BI alerts for brokerage and advisory accounts using LPL’s electronic...