Supervisory Principal
Essential Functions:
1. Review and approval of new account applications, reviewing transactions on a trade blotter, review and approval of variable annuities, mutual funds, and securities transactions for suitability and documentation, advisor email and client correspondence.
2. Confirm that all required account documents are provided to and obtained from a customer, and maintain and retain branch books and records in the OSJ branch office for the required retention period.
3. Provide assistance during annual inspection of OSJ branch office. Respond to branch deficiency letter and take steps to correct any documented deficiencies.
4. Act as key contact for internal departments, such as Operations, New Accounts, Service Center and various departments across Governance, Risk, and Compliance (GRC).
5. Some travel may be required to conduct branch office visits, attend regulatory and Firm conferences as needed and attend training sessions at LPL’s home office.
6. Assist with regulatory exams and requests as well as assist with the maintenance of the department’s written supervisory procedures.
Qualifications:
Minimum Education Required:
- Undergraduate degree in Business, Accounting, Finance or related discipline.
Minimum Experience Required:
- 4+ years industry experience
Licenses/Certifications:
- Series 7, 66 (or 63 and 65), 24 (or 9 and 10), 53 required (or ability to obtain S53 within 90 days)
- Series 4 and Life and Health Insurance License a plus
Software/Systems:
- All Microsoft applications, particularly, Excel, Word, Access, PowerPoint.
Other Requirements:
- Knowledge of mutual funds, annuities, general securities, and other financial products requiredAbility to work in a fast paced/high volume environment and be flexible with work schedule
- Strong knowledge of FINRA SEC, and State rules and regulations
- Ability to develop compliance systems and strategies for effective supervision
- 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 and for staff support in their role as Branch Office Manager
- Proactive collaboration and service-based responses with business partners on escalated issues and concerns is essential
- Excellent management, and human relations skills
We offer a competitive salary and benefits package. Please login or create an account to apply to this position. Principals only. EOE
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