Job description
Are you a team player? Are you curious to learn? Are you interested in working in meaningful projects? Do you want to work with cutting-edge technology? Are you interested in being part of a team that is working to transform and do things differently? If so, LPL Financial is the place for you!
Job Overview:
We are currently looking to hire a Supervisory Principal within the Advisor Review & OBAs area of Supervision within the Compliance, Legal and Risk (CLR) organization. The OBAs Principal is a first line defense function responsible for the review of Outside Business Activity and Private Securities Transaction Requests for advisors. The Principal will work closely several departments/groups throughout LPL.
Responsibilities:
- Review requests for Outside Business Activities & Private Securities Transactions submitted by advisors
- First line supervisory responsibility to conduct due diligence review on Office Sharing Arrangements
- Interacts with advisors, business consultants and various internal departments as well as senior levels of management in fully evaluating and communicating reviews, as well as, coordination of special projects and investigations
- Works with assigned business units and provides supervisory expertise and consulting for projects and initiatives
- Conducts OBA Monitoring Reviews
- Assist with regulatory exams and requests as well as assist with other internal investigations and reviews
- Create and analyze departmental metrics to assist to boost overall efficiency and productivity
- Performs other duties and completes ad hoc projects as assigned
Qualifications:
- Licenses/Certifications Required: FINRA Series 7, Series 24
- Undergraduate degree in Business, Accounting, Finance or related discipline preferred
- Minimum of 3-5 years industry experience
- Experience with all Microsoft applications, particularly, Excel, Word, Access, PowerPoint, SharePoint, and Visio. Familiarity with Salesforce and Oracle a plus
Other Job Duties:
- Review requests for Outside Business Activities & Private Securities Transactions submitted by advisors
- First line supervisory responsibility to conduct due diligence review on Office Sharing Arrangements
- Interacts with advisors, business consultants and various internal departments as well as senior levels of management in fully evaluating and communicating reviews, as well as, coordination of special projects and investigations
- Works with assigned business units and provides supervisory expertise and consulting for projects and initiatives
- Conducts OBA Monitoring Reviews
- Assist with regulatory exams and requests as well as assist with other internal investigations and reviews
- Create and analyze departmental metrics to assist to boost overall efficiency and productivity
- Performs other duties and completes ad hoc projects as assigned
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