OSJ Supervisory Principal

2 weeks ago


San Diego, California, United States TEKsystems Full time

Position Overview:

The Home Office Supervision Principal plays a crucial role in overseeing the financial services sector, possessing a comprehensive understanding of the regulations, policies, and operational standards set forth by LPL Financial and relevant regulatory authorities. This position is dedicated to the effective supervision of Home Office Supervisors (HOS) and Office of Supervisory Jurisdiction (OSJ) managers within the assigned territory.

Key Responsibilities:

The Regional Supervisory Principal (RSP) is tasked with addressing escalated and intricate issues that arise within the supervisory framework. This role serves as a vital liaison for HOS advisors and OSJ managers, providing essential education, guidance, and support to ensure compliance with industry standards.

The RSP will collaborate with a dedicated supervisory team focused on ensuring that financial advisors adhere to the supervision criteria established by regulatory bodies and the firm.

Licensing Requirements:

Candidates must possess the following licenses: FINRA Series 7, 9, and 10 (or Series 24); Series 4 & 53 are mandatory or must be obtained within 120 days of employment (for those with Series 24); Series 66 (or Series 63 and 65).

Essential Skills:

- Series 7
- Series 24
- Series 66
- FINRA
- Series 63
- Series 65
- Series 9
- Series 10
- OSJ

Additional Qualifications:

Candidates must have prior experience in general OSJ supervision.

Experience Level:

This position is suitable for entry-level candidates.

About TEKsystems:

At TEKsystems, we are committed to driving transformation. We empower our clients to realize innovative ideas and solutions, enabling them to seize new opportunities. Our team, comprising 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 forward-thinking leaders to facilitate change. This is the essence of true collaboration. TEKsystems is a proud member of the Allegis Group.

TEKsystems is an equal opportunity employer and welcomes applications from all individuals without regard to race, gender, age, color, religion, national origin, veteran status, disability, sexual orientation, gender identity, genetic information, or any characteristic protected by law.



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