Sr. Supervisory Principal

The Pinnacle Service Professional delivers elite white glove support to a select group of top‑tier Financial Advisors. Job Overview The Supervisory Principal is responsible for completing front‑line supervisory tasks on a daily basis and reporting potential sales practice concerns to the Regional Supervisory Principal. Great emphasis is placed on completing tasks according to Service Level Agreements and at a high level of quality. The Supervisory Principal may also serve as the subject‑matter expert for complex products, centralized review processes, and/or business models where the SP will act as the primary supervisor for all HOS, Branch OSJ, and advisors under field OSJs. Responsibilities Review of securities transactions on the electronic trade blotter for suitability and compliance with regulations and firm policy. Review of account‑level suitability alerts for brokerage and advisory accounts using LPL’s electronic supervisory tool suite. Review and approval of account documentation and correspondence. Analysis of transaction activity and identification of potential sales practice concerns. Collaboration with Regional Supervisory Principals and other business partners to elevate and resolve sales practice concerns. Supervise activity within the Advisory and RIA business models. Review of full discretion and advisory fee credits/reversals. Supervisory oversight of MSRB securities (municipal bonds, 529 College Plans). Supervisory oversight of complex products such as annuities, alternative investments, and structured products. Requirements Undergraduate degree in Business, Accounting, Finance or related discipline. 7+ years’ industry experience in a compliance related function. Series 7, 9 and 10 (or Series 24); Series 4 and 53 required or must pass within 120 days of employment (for candidates with S24); Series 66 (or S63 and S65). Core Competencies Work within a team environment to identify potential sales practice concerns. Provide consultative support to clients. Provide awareness across all BRM departments of any investigations, escalations, or emerging risks involving advisors and OSJs. Knowledge of mutual funds, annuities, general securities, and other financial products required. Knowledge of FINRA, SEC, and State rules and regulations required. 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. Excellent oral and written communication skills. Ability to make regulatory and supervisory-based decisions. Proactive collaboration and service-based responses with business partners on escalated issues. Ability to develop compliance systems and strategies for effective supervision. Pay Range Pay Range: $74,057.00 – $123,497.00. Actual base salary varies based on factors such as relevant skill, prior experience, education, peer salary, performance, and geographic location. LPL Total Rewards package includes 401(k) matching, health benefits, employee stock options, paid time off, volunteer time off, and more. Equal Opportunity Employer EOE. #J-18808-Ljbffr LPL Financial LLC