Senior Supervisory Principal

What if you could build a career where ambition meets innovation? At LPL Financial, we empower professionals to shape their success while helping clients pursue their financial goals with confidence. What if you could have access to cutting-edge resources, a collaborative environment, and the freedom to make an impact? If you're ready to take the next step, discover what’s possible with LPL Financial.

Job Overview

Senior Supervisory Principal is responsible for serving as life insurance/annuity subject matter expert for LPL Financial Professionals across the country. This position will be responsible for supervising the appropriateness for transactions in life insurance/annuity products, ensuring advisors are meeting the standards and requirements of supervision set forth by regulatory agencies and the Firm.

Responsibilities

• Review and approval of transactions for suitability and documentation of fixed and variable life insurance as well as variable, fixed indexed, and fixed annuities.

• Research and review annuity liquidation transaction, free looks, and other transactional activity.

• Serve on various committees and projects as determined by management.

• Assist other functions within Supervision as necessary to meet demand.

• Act as key contact and subject matter expert for Financial Advisors, OSJ Supervisors, & Home Office Supervisors, and assist in any program/client issues in regards to life insurance, as well as variable, fixed indexed annuities or other complex products.

• Assist with regulatory exams and requests as well as assist with the maintenance of the department’s written supervisory procedures.

• Assist with ad hoc project requests from management

What are we looking for

We’re looking for strong collaborators who deliver exceptional client experiences and thrive in fast-paced, team-oriented environments. Our ideal candidates pursue greatness, act with integrity, and are driven to help our clients succeed. We value those who embrace creativity, continuous improvement, and contribute to a culture where we win together and create and share joy in our work.

Requirements

• Undergraduate degree in Business, Accounting, Finance or related discipline.

• 7+ years industry experience

• Licenses/Certifications Required/Preferred: Series 7, 66 (or 63 and 65), 9 and 10 (or Series 24 & 53) required.

• Experience with all Microsoft applications, particularly, Excel, Word, Access, PowerPoint, and Visio. Familiarity with BETA a plus

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

• 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 supervisory-based decisions will be necessary to complete the day-to-day functions of the role

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

• Ability to develop compliance systems and strategies for effective supervision

• Knowledge of life insurance, mutual funds, annuities, general securities, and other financial products required

• Knowledge of FINRA, SEC, and State rules and regulations

 

Pay Range:

$71,925-$119,875/year
 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!
 

Company Overview:

LPL Financial Holdings Inc. (Nasdaq: LPLA) was founded on the principle that the firm should work for advisors and institutions, and not the other way around. Today, LPL is a leader in the markets we serve, serving more than 23,000 financial advisors, including advisors at approximately 1,000 institutions and at approximately 580 registered investment advisor ("RIA") firms nationwide. We are steadfast in our commitment to the advisor-mediated model and the belief that Americans deserve access to personalized guidance from a financial professional.

At LPL, independence means that advisors and institution leaders have the freedom they deserve to choose the business model, services, and technology resources that allow them to run a thriving business. They have the flexibility to do business their way. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors and institutions, so they can take care of their clients.

Join LPL Financial: Where Your Potential Meets Opportunity

At LPL Financial, we believe that everyone deserves objective financial guidance. As the nation’s leading independent broker-dealer, we offer an integrated platform of cutting-edge technology, brokerage, and investment advisor services.

Why LPL?

• Innovative Environment: We foster creativity and growth, providing a supportive and responsive leadership team. Learn more about our leadership team here!

• Limitless Career Potential: Your career at LPL has no limits, only amazing potential. Learn more about our careers here!

• Unified Mission: We are one team on one mission—taking care of our advisors so they can take care of their clients. Learn more about our mission and values here!

• Impactful Work: Our size is just right for you to make a real impact. Learn more here!

• Commitment to Equality: We support workplace equality and embrace diverse perspectives and backgrounds. Learn more here!

• Community Focus: We care for our communities and encourage our employees to do the same. Learn more here!

• Benefits and Total Rewards: Our Total Rewards package goes beyond just compensation and insurance. It includes a mix of traditional and unique benefits, perks, and resources designed to enhance your life both at work and at home. Learn more here!

Join the LPL team and help us make a difference by turning life’s aspirations into financial realities. Please log in or create an account to apply to this position. Principals only. EOE.

Information on Interviews:

LPL will only communicate with a job applicant directly from an @lplfinancial.com email address and will never conduct an interview online or in a chatroom forum.  During an interview, LPL will not request any form of payment from the applicant, or information regarding an applicant’s bank or credit card.  Should you have any questions regarding the application process, please contact LPL’s Human Resources Solutions Center at (855) 575-6947.

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