Supervisory Principal, Onboarding Supervision

2 months ago

Fort Mill, United States LPL Financial Full time

Job Overview:

We are currently looking to hire a Supervisory Principal on the Onboarding Supervision team. The Onboarding Supervision, Supervisory Principal is a first line defense function responsible for the reviews of representatives wishing to join LPL Financial, reviews of Outside Business Activity and Private Securities Transaction Requests for advisors as well as “day one” marketing materials for new offices joining LPL Enterprise. The Supervisory Principal will work closely with several departments/groups throughout LPL.

Responsibilities:

First line supervisory responsibility to conduct due diligence review on prospective representatives of LPL Financial.

Review requests for Outside Business Activities & Private Securities Transactions submitted by advisors

First line supervisory responsibility to conduct due diligence review on Office Sharing Arrangements

Review “day one” marketing materials (letterhead, business cards etc…) for new offices to LPL

Interact with advisors, business consultants and various internal departments as well as senior levels of management in fully evaluating and communicating compliance determination, as well as, coordination of special projects and investigations

Work with assigned business units and provide supervisory expertise and consulting for projects and initiatives

Assist with regulatory exams and requests as well as assist with other internal investigations and reviews

Proactive collaboration and service-based responses with business partners on escalated issues and concerns is essential

Perform other duties and complete ad hoc projects as assigned

Requirements:

Licenses/Certifications Required: FINRA Series 7, Series 24, Series 63 (or 66)

Minimum of 3 years industry experience

Experience with Adobe, all Microsoft applications, particularly, Excel, Word, Access, PowerPoint, SharePoint, and Visio.

Core Competencies:

Ability to work in a fast paced/high volume environment and be flexible with work schedule

Knowledge of FINRA SEC, and State rules and regulations

Ability to multi-task, strong attention to detail, excellent problem-solving and follow-up skills are essential for this position

Excellent oral and written communication skills

Ability to make regulatory and risk-based decisions will be necessary to complete the day-to-day functions of the role

Preferences:

Undergraduate degree in Business, Accounting, Finance or related discipline preferred

Familiarity with Salesforce and Oracle a plus

Pay Range:

Actual base salary varies based on factors, including but not limited to, relevant skill, prior experience, education, base salary of internal peers, demonstrated performance, and geographic location. Additionally, LPL Total Rewards package is highly competitive, designed to support your success at work, at home, and at play – such as 401K matching, health benefits, employee stock options, paid time off, volunteer time off, and more. Your recruiter will be happy to discuss all that LPL has to offer

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