Senior Regional Supervisory Principal
External
Lplfinancial · RemoteFull-timeRemoteToday
ExcelRisk Management
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Responsibilities
- The Regional Supervisory Principal (RSP) is responsible for resolving escalated, complex issues received by the supporting supervisory team.
- Responsible for maintaining ongoing relationships to HOS advisors and/or OSJ managers by acting as a main point of contact to educate, guide, and assist them with maintaining a compliant business.
- The Regional Supervisory Principal will be supported by a supervisory team responsible for ensuring that the assigned financial advisors are meeting the standards and requirements of supervision set forth by regulatory agencies and the Firm.