LPL Financial CorpHiring

Senior Regional Supervisory Principal

  • USD 81,473 to 135,857 per year
  • Remote, United States
  • Lead
  • Posted 6 days ago
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In one line

Supervision role covering a region of advisors and branch managers, making sure their business stays within the rules; office based with a team behind you.

About the role

The job exists to keep advisors and their branch managers compliant while they serve clients. Escalated and complex cases land on your desk, and you are the steady contact who guides people through them.

At a glance

Pay
USD 81,473 to 135,857 per year
Remote scope
Remote, United States
Seniority
Lead
Skills
FINRA Series 7, Series 24, Series 66, Excel, Visio
Posted
29 Oct 2026
Last checked
3 Nov 2026

What you will do

  • Take on escalated and complex issues that come up through the supervisory team
  • Be the main contact for advisors and branch managers in your region, coaching them on compliant practice
  • Work with a supervisory team that checks advisors meet regulatory and firm standards

What they look for

  • Hold Series 7, 9 and 10 or Series 24, plus Series 4 and 53 (or pass them within 120 days if you have the 24) and Series 66 or 63 and 65
  • Degree in business, accounting, finance or a related field, with 7 or more years in the industry and at least 3 supervising people
  • Comfortable with Excel, Word, Access, PowerPoint and Visio, and know life insurance, mutual funds, annuities, securities and alternatives
  • Familiar with FINRA, SEC and state rules, and good at solving complex problems and planning ahead

Nice to have

  • A collaborative style and openness to new ideas

Benefits

  • 401k match, health cover, stock options, paid time off and volunteer days

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Questions about this job

Is this a remote job, and where can I work from?

The posting lists it as remote for people in the United States.

What does this job pay?

The posting states USD 81,473 to 135,857 per year.

What experience is needed?

It is a lead role. The posting asks for: hold Series 7, 9 and 10 or Series 24, plus Series 4 and 53 (or pass them within 120 days if you have the 24) and Series 66 or 63 and 65; degree in business, accounting, finance or a related field, with 7 or more years in the industry and at least 3 supervising people; comfortable with Excel, Word, Access, PowerPoint and Visio, and know life insurance, mutual funds, annuities, securities and alternatives. Skills it names include FINRA Series 7, Series 24, Series 66, Excel.

How do I apply with Keywordise AI?

Press the Apply with Keywordise AI button and add your CV. Keywordise tailors your CV and cover letter to this posting and sends the application for you, with a free 7-day trial and no card.

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LPL Financial CorpRemote, United States
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