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OSJ Supervisory Principal

2 months ago

San Diego, California, United States TEKsystems Full time

Position Overview:

The Home Office Supervision Principal plays a pivotal role in overseeing the financial services sector, possessing a deep understanding of the industry’s regulations, guidelines, and policies as established by LPL Financial and relevant regulatory authorities. This position emphasizes exceptional customer service capabilities.

Key Responsibilities:

  • Provide comprehensive supervision for Home Office Supervision (HOS) advisors and Office of Supervisory Jurisdiction (OSJ) managers within the assigned region.
  • Address and resolve complex, escalated issues that arise within the supervisory team.
  • Maintain strong, ongoing relationships with HOS advisors and OSJ managers, serving as a primary contact for education, guidance, and compliance support.
  • Collaborate with a supervisory team to ensure that financial advisors adhere to the supervisory standards mandated by regulatory bodies and the firm.

Licensing Requirements:

Candidates must possess or be willing to obtain the following licenses: FINRA Series 7, 9, and 10 (or Series 24); Series 4 & 53 are required or must be completed within 120 days of employment (for candidates with Series 24); Series 66 (or Series 63 and 65).

Essential Skills:

Proficiency in Series 7, Series 24, Series 66, and familiarity with FINRA regulations.

Preferred Qualifications:

Prior experience in general OSJ supervision is essential.

Experience Level:

This position is suitable for entry-level candidates.

About TEKsystems:

At TEKsystems, we are committed to driving transformation for our clients. Our team of 80,000 professionals collaborates with over 6,000 clients, including a significant portion of the Fortune 500, across North America, Europe, and Asia. As a leader in Full-Stack Technology Services and Talent Services, we partner with innovative leaders to foster change and growth. TEKsystems is a proud member of the Allegis Group.

TEKsystems is an equal opportunity employer and welcomes applications from all qualified individuals, regardless of race, gender, age, color, religion, national origin, veteran status, disability, sexual orientation, gender identity, genetic information, or any other characteristic protected by law.