Hiring: Senior Supervisory Principal - Central Supervision Principal Company: LPL Financial Location: Fort Mill, SC Job Posted Time: 2026-09-10 12:37:13 Target Skills & Keywords : Series 24, Series 66, Series 7, Wealth Management About the job Experience: •7+ year’s industry experience in a compliance related function Required Skills: •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 escalate 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) Qualifications: •Undergraduate degree in Business, Accounting, Finance or related discipline •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) •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 •Demonstrated capacity to work in a fast paced/high volume environment and be flexible with work schedule •Demonstrated capacity to multi-task, strong attention to detail, excellent problem-solving and follow-up skills •Excellent oral and written communication skills Compensation: •$74,057 - $123,497 / year •Flexible work environment (work from home / hybrid options) Interested candidates, please apply directly through the job posting on company's career page or try via AI auto apply on this platform. Don't miss this opportunity to join a forward-thinking team!