Where Ambition Meets Innovation
Build a career that matches all your initiative with an impressive dose of innovation. From cutting-edge resources and a collaborative environment to the freedom to make an impact and more, you’ll find the ingredients you need at LPL Financial to shape your success while helping clients pursue their financial goals.
The Pinnacle Service Professional delivers elite, "white glove" support to a select group of top-tier Financial Advisors. This role goes beyond traditional call center responsibilities, requiring a higher standard of service, expertise, and relationship management. Pinnacle Service Professionals serve as trusted partners, providing proactive, personalized assistance that reflects deep industry knowledge and a commitment to excellence.
Job Overview:
The Supervisory Principal is responsible for completing front-line supervisory tasks on a daily basis and reporting potential sales practice concerns to the Regional Supervisory Principal. Great emphasis will be placed upon completing tasks according to the established Service Level Agreements and at a high level of quality. The Supervisory Principal may also serve as the Subject Matter Expert for certain complex products, centralized review processes, and/or business models where the SP will act as the primary supervisor for all HOS, Branch OSJ, and advisors under field OSJs.
Responsibilities:
• 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)
• Supervisory oversight of Complex Products such as annuities, alternative
investments, and structured products.
What are we looking for?
We want strong collaborators who can deliver a world-class client experience. We are looking for people who thrive in a fast-paced environment, are client-focused, team oriented, and are able to execute in a way that encourages creativity and continuous improvement.
Requirements:
• Undergraduate degree in Business, Accounting, Finance or related discipline
• 7+ year’s industry experience in a compliance related function
• 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)
Core Competencies:
• 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
• Ability to work in a fast paced/high volume environment and be flexible with work schedule
• Ability to multi-task, strong attention to detail, excellent problem-solving and
follow-up skills
• Excellent oral and written communication skills
• Ability to make regulatory and supervisory-based decisions
• Proactive collaboration and service-based responses with business partners on escalated issues
• Ability to develop compliance systems and strategies for effective supervision
Pay Range:
$74,057.00 - $123,497.00Actual base salary varies based on factors, including but not limited to, relevant skill, prior experience, education, base salary of internal peers, demonstrated performance, and geographic location. Additionally, LPL Total Rewards package is highly competitive, designed to support your success at work, at home, and at play – such as 401K matching, health benefits, employee stock options, paid time off, volunteer time off, and more. Your recruiter will be happy to discuss all that LPL has to offer!
Company Overview:
LPL Financial Holdings Inc. (Nasdaq: LPLA) is among the fastest growing wealth management firms in the U.S. As a leader in the financial advisor-mediated marketplace(6) , LPL supports over 32,000 financial advisors and the wealth management practices of approximately 1,100 financial institutions, servicing and custodying approximately $2.3 trillion in brokerage and advisory assets on behalf of approximately 8 million Americans. The firm provides a wide range of advisor affiliation models, investment solutions, fintech tools and practice management services, ensuring that advisors and institutions have the flexibility to choose the business model, services, and technology resources they need to run thriving businesses. For further information about LPL, please visit www.lpl.com.
At LPL, independence means that advisors and institution leaders have the freedom they deserve to choose the business model, services, and technology resources that allow them to run a thriving business. They have the flexibility to do business their way. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors and institutions, so they can take care of their clients.
For further information about LPL, please visit www.lpl.com.
Join the LPL team and help us make a difference by turning life’s aspirations into financial realities. Please log in or create an account to apply to this position. Principals only. EOE.
Information on Interviews:
LPL will only communicate with a job applicant directly from an @lplfinancial.com email address and will never conduct an interview online or in a chatroom forum. During an interview, LPL will not request any form of payment from the applicant, or information regarding an applicant’s bank or credit card. Should you have any questions regarding the application process, please contact LPL’s Human Resources Solutions Center at (855) 575-6947.
EAC 5.19.26
Skills Required
- Undergraduate degree in Business, Accounting, Finance, or related discipline
- 7+ years industry experience in a compliance-related function
- Series 7, Series 9 and Series 10 (or Series 24)
- Series 4 and Series 53 required (or must pass within 120 days for candidates with Series 24)
- Series 66 (or Series 63 and Series 65)
- Knowledge of mutual funds, annuities, general securities, and other financial products
- Knowledge of FINRA, SEC, and State rules and regulations
- Principals only (applicants must be principals)
LPL Financial Compensation & Benefits Highlights
The following summarizes recurring compensation and benefits themes identified from responses generated by popular LLMs to common candidate questions about LPL Financial and has not been reviewed or approved by LPL Financial.
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Retirement Support — Retirement programs include a company 401(k) match that is frequently highlighted as a strong component of total rewards. Feedback suggests these features meaningfully enhance long‑term financial value.
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Equity Value & Accessibility — An employee stock purchase plan with a meaningful discount and lookback is highlighted as accessible ownership. Feedback suggests the plan adds tangible upside beyond base salary.
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Parental & Family Support — Paid parental leave has been expanded alongside family‑building and adoption support. Feedback suggests these benefits compare well to large‑employer standards.
LPL Financial Insights
What We Do
Financial advice is changing, and at LPL Financial, we’re at the forefront. We’re building a future where advisors can—with no friction or complexity, as simple as turning the dials—pick the business model, services, technology, and product mix that best meet their clients’ needs. With one platform, one sign-on, and one team to call, you can take your business anywhere you want it to go. There are no limits to your growth, and we’ll partner with you every step of the way. Your greatness is our goal. LPL Financial is a leader in the retail financial advice market and the nation’s largest independent broker/dealer*. We serve independent financial advisors and financial institutions, providing them with the technology, research, clearing and compliance services, and practice management programs they need to create and grow thriving practices. LPL enables them to provide objective guidance to millions of American families seeking wealth management, retirement planning, financial planning and asset management solutions. LPL.com Securities and Advisory Services offered through LPL Financial. A registered investment advisor, Member FINRA/SIPC.
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