Senior Regional Supervisory Principal

Location: Remote California; other listed locations include Remote Arizona, Remote Oregon, and Tempe, United States.

Salary: $81,473.00–$135,857.00 base pay.

Company

hirify.global is a U.S. wealth management firm supporting financial advisors, financial institutions, investment solutions, fintech tools, and practice management services.

What you will do

• Provide holistic supervision for home-office supervision advisors and OSJ managers in the designated region.
• Resolve escalated and complex issues received by the supervisory team.
• Maintain relationships with advisors and OSJ managers as a primary point of contact.
• Educate, guide, and assist advisors and managers in maintaining compliant businesses.
• Support oversight of financial advisors against firm and regulatory supervision standards.

Requirements

• FINRA Series 7, 9, and 10, or Series 24.
• Series 4 and 53 required, or must be passed within 120 days of employment for candidates with Series 24.
• Series 66, or Series 63 and 65.
• Undergraduate degree in Business, Accounting, Finance, or a related discipline.
• At least 7 years of financial industry experience, including a minimum of 3 years in a direct supervisory capacity.
• Experience with Microsoft applications, particularly Excel, Word, Access, PowerPoint, and Visio.
• Knowledge of life insurance, mutual funds, annuities, general securities, alternative investments, and other financial products.
• Knowledge of FINRA, SEC, and state rules and regulations.
• Core competencies include customer focus, complex problem solving, planning and alignment, collaboration, organization, consultation, risk management, and innovation.

Nice to have

• Collaboration.
• Innovation.

Culture & Benefits

• Full-time employment in a fast-paced, team-oriented environment.
• Collaborative culture focused on integrity, continuous improvement, client success, and shared achievement.
• 401(k) matching, health benefits, employee stock options, paid time off, and volunteer time off.
• Application is limited to principals; equal employment opportunity is provided.

Hiring process

• Log in or create an account to apply.
• LPL communicates with applicants only from an @lplfinancial.com email address and does not conduct interviews online or in chatroom forums.
• Applicants will not be asked for payment or bank and credit card information during interviews.