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OSJ General Supervisory Principal
3 months ago
Description:
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. The Regional Supervisory Principal (RSP) is responsible for resolving escalated, complex issues received by the supporting supervisory team while. 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 ensuring that the assigned financial advisors are meeting the standards and requirements of supervision set forth by regulatory agencies and the Firm.Licensing Requirements: FINRA Series 7, 9 and 10 (or Series 24); Series 4 & 53 required or must pass within 120 days of employment (for candidates with S24); Series 66 (or S63 and S65)
Skills:
Series 7, Series 24, series 66, FINRA, series 63, series 65, Series 9, Series 10, OSJ
Top Skills Details:
Series 7,Series 24,series 66
Additional Skills & Qualifications:
Licensing Requirements: FINRA Series 7, 9 and 10 (or Series 24); Series 4 & 53 required or must pass within 120 days of employment (for candidates with S24); Series 66 (or S63 and S65) Must Have General OSJ Supervision Experience.
Experience Level:
Entry Level
About TEKsystems:
We're partners in transformation. We help clients activate ideas and solutions to take advantage of a new world of opportunity. We are a team of 80,000 strong, working with over 6,000 clients, including 80% of the Fortune 500, across North America, Europe and Asia. As an industry leader in Full-Stack Technology Services, Talent Services, and real-world application, we work with progressive leaders to drive change. That's the power of true partnership. TEKsystems is an Allegis Group company.
The company is an equal opportunity employer and will consider all applications without regards to race, sex, age, color, religion, national origin, veteran status, disability, sexual orientation, gender identity, genetic information or any characteristic protected by law.
