Ecomm Supervision Principal

What if you could build a career where ambition meets innovation? At LPL Financial, we empower professionals to shape their success while helping clients pursue their financial goals with confidence. What if you could have access to cutting-edge resources, a collaborative environment, and the freedom to make an impact? If you're ready to take the next step, discover what’s possible with LPL Financial.

Job Overview:

The eComm Supervision Principal will be responsible for working on tasks related to the firm's electronic communication supervision program, which includes running and analyzing reports, recommending changes to the firm's program based on risk, reviewing electronic communications, reviewing Social Media Profiles, supporting Centralized Services tasks, making presentations to larger committees, and other items related to lowering our risk profile related to the supervision program.

Responsibilities:

• Reviewing and supervising electronic communications

• Reviewing and supervising Social Media Profiles, static content

• Recommending changes to our keywords and lexicons for electronic supervision

• Running and analyzing reports in our electronic supervisory platforms

• Supporting Centralized Services tasks

• Work with our offshore partners who review electronic communications

• Create reporting for senior management, such as trend reporting

• Review and Quality Control of artificial intelligence and machine learning bots actions and recommendations

• Testing and verifying system updates and implementation of new technology within the system, such as additions of social media supervision

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:

• Series 7, Series 24

• 2+ years of experience supervising electronic communications and/or reviewing social media

• Ability to identify problem areas, analyze risk for LPL Financial and develop policy, procedure and controls to effectively supervise and mitigate said risk

Core Competencies:

• Strong knowledge of mutual funds, annuities, alternative investments, general securities, and other financial products required

• Ability to work in a fast paced/high volume environment

• Strong knowledge of FINRA SEC, and State rules and regulations

• Ability to develop compliance systems and strategies for effective supervision

• Focus on delivering great customer service and accurate information
• Ability to multi-task, strong attention to detail, excellent problem-solving and follow-up skills are essential for this position
• Excellent oral and written communication skills
• Ability to make regulatory and supervisory-based decisions will be necessary
• Very strong analytical skills
• Strong knowledge in all Microsoft applications; particularly Excel and PowerPoint

Preferences:

•    Undergraduate degree in Business, Accounting, Finance, or related discipline preferred
•    Series 66 (OR S63 AND S65) preference
•    Understanding of Proofpoint and Lexicon Tuning

 

Pay Range:

$60,900-$101,500/year

 

Actual 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) was founded on the principle that the firm should work for advisors and institutions, and not the other way around. Today, LPL is a leader in the markets we serve, serving more than 23,000 financial advisors, including advisors at approximately 1,000 institutions and at approximately 580 registered investment advisor ("RIA") firms nationwide. We are steadfast in our commitment to the advisor-mediated model and the belief that Americans deserve access to personalized guidance from a financial professional.

At LPL, independence means that advisors and institution leaders have the freedom they deserve to choose the b