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Mgr, Supervision Advisor Communication

April 30, 2026

Lead with Purpose, Unlock Your Team’s Passion At LPL, people leaders hold the key to the employee experience — shaping culture, driving performance, and guiding individuals to new heights. Because when that happens, we all win – clients, LPL, and most importantly our, employees.If you're ready to lead with intention and discover what’s possible, LPL Financial invites you to apply today. Responsibilities:<ul><li>Support and manage processes focused on reviewing marketing materials for existing offices with LPL Financial, Employee Advisors and Home Office Employees.</li><li>Support and manage a high capacity team focused on multiple disciplines of supervision functions applying FINRA 2210 and SEC Marketing Reglations</li><li>Quickly resolve escalations from business partners across the firm</li><li>Conduct performance reviews with team members</li><li>Provide coaching & help with employee growth aspirations</li><li>Interact with advisors, business consultants and various internal departments as well as senior levels of management in fully evaluating and communicating review determination, as well as, coordination of special projects and investigations</li><li>Work with assigned business units and provide supervisory expertise and consulting for projects and initiatives</li><li>Assist with regulatory exams and requests as well as assist with other internal investigations and reviews</li><li>Perform other duties and complete ad hoc projects as assigned</li></ul>What are we looking for?We’re looking for strong collaborators who deliver exceptional client experiences and thrive in fast-paced, team-oriented environments. Our ideal candidates pursue greatness, act with integrity, and are driven to help our clients succeed. We value those who embrace creativity, continuous improvement, and contribute to a culture where we win together and create and share joy in our work.Requirements:<ul><li>3+ years of prior financial services and advertising/marketing compliance review experience</li><li>Prior experience in a client-facing role</li><li>Confident on the phone, able to break down complex topics, and ask thoughtful, open‑ended questions</li><li>Demonstrated knowledge of FINRA, SEC, and State rules and regulations</li><li>Licensing Requirement: Series 7, 24</li></ul>Core Competencies:<ul><li>Ability to manage work in a fast-paced, high-volume environment with schedule flexibility as business needs require.</li><li>Demonstrated capability in customer engagement, collaboration, time management, organization, and clear oral and written communication.</li><li>Ability to handle multiple tasks simultaneously, maintain attention to detail, identify issues, and ensure appropriate follow-up</li><li>Experience working in Microsoft Excel, Word, and PowerPoint.</li><li>Ability to deliver customer support and communication effectively with individuals across multiple levels of the organization.</li></ul>Preferences:<ul><li>Licensing: 66 (or 63 and 65)</li><li>Bachelor's Degree</li></ul><h3> </h3>Pay Range: $81,267-$135,445/year<h3> </h3>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!<h3> </h3>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 <a href="http://www.lpl.com/" target="_blank" rel="noopener noreferrer">www.lpl.com</a>.Join LPL Financial: Where Your Potential Meets OpportunityAt LPL Financial, we believe that everyone deserves objective financial guidance. As the nation’s leading independent broker-dealer, we offer an integrated platform of cutting-edge technology, brokerage, and investment advisor services.Why LPL?<ul><li>Innovative Environment: We foster creativity and growth, providing a supportive and responsive leadership team. <a href="https://www.lpl.com/about-us/our-financial-strength/leadership.html" target="_blank" rel="noopener noreferrer">Learn more about our leadership team here!</a></li><li>Limitless Career Potential: Your career at LPL has no limits, only amazing potential. <a href="https://career.lpl.com/search-results" target="_blank" rel="noopener noreferrer">Learn more about our careers here!</a></li><li>Unified Mission: We are one team on one mission—taking care of our advisors so they can take care of their clients. <a href="https://www.lpl.com/about-us/what-we-do/our-culture.html" target="_blank" rel="noopener noreferrer">Learn more about our mission and values here!</a></li><li>Impactful Work: Our size is just right for you to make a real impact. <a href="https://investor.lpl.com/" target="_blank" rel="noopener noreferrer">Learn more here!</a></li><li>Commitment to Equality: We support workplace equality and embrace diverse perspectives and backgrounds. <a href="https://career.lpl.com/Culture-Inclusion" target="_blank" rel="noopener noreferrer">Learn more here!</a></li><li>Community Focus: We care for our communities and encourage our employees to do the same. <a href="https://career.lpl.com/our-community-impact" target="_blank" rel="noopener noreferrer">Learn more here!</a></li><li>Benefits and Total Rewards: Our Total Rewards package goes beyond just compensation and insurance. It includes a mix of traditional and unique benefits, perks, and resources designed to enhance your life both at work and at home. <a href="https://career.lpl.com/benefits-and-perks" target="_blank" rel="noopener noreferrer">Learn more here!</a></li></ul>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.EAC12.9.25

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Common Interview Questions And Answers

1. HOW DO YOU PLAN YOUR DAY?

This is what this question poses: When do you focus and start working seriously? What are the hours you work optimally? Are you a night owl? A morning bird? Remote teams can be made up of people working on different shifts and around the world, so you won't necessarily be stuck in the 9-5 schedule if it's not for you...

2. HOW DO YOU USE THE DIFFERENT COMMUNICATION TOOLS IN DIFFERENT SITUATIONS?

When you're working on a remote team, there's no way to chat in the hallway between meetings or catch up on the latest project during an office carpool. Therefore, virtual communication will be absolutely essential to get your work done...

3. WHAT IS "WORKING REMOTE" REALLY FOR YOU?

Many people want to work remotely because of the flexibility it allows. You can work anywhere and at any time of the day...

4. WHAT DO YOU NEED IN YOUR PHYSICAL WORKSPACE TO SUCCEED IN YOUR WORK?

With this question, companies are looking to see what equipment they may need to provide you with and to verify how aware you are of what remote working could mean for you physically and logistically...

5. HOW DO YOU PROCESS INFORMATION?

Several years ago, I was working in a team to plan a big event. My supervisor made us all work as a team before the big day. One of our activities has been to find out how each of us processes information...

6. HOW DO YOU MANAGE THE CALENDAR AND THE PROGRAM? WHICH APPLICATIONS / SYSTEM DO YOU USE?

Or you may receive even more specific questions, such as: What's on your calendar? Do you plan blocks of time to do certain types of work? Do you have an open calendar that everyone can see?...

7. HOW DO YOU ORGANIZE FILES, LINKS, AND TABS ON YOUR COMPUTER?

Just like your schedule, how you track files and other information is very important. After all, everything is digital!...

8. HOW TO PRIORITIZE WORK?

The day I watched Marie Forleo's film separating the important from the urgent, my life changed. Not all remote jobs start fast, but most of them are...

9. HOW DO YOU PREPARE FOR A MEETING AND PREPARE A MEETING? WHAT DO YOU SEE HAPPENING DURING THE MEETING?

Just as communication is essential when working remotely, so is organization. Because you won't have those opportunities in the elevator or a casual conversation in the lunchroom, you should take advantage of the little time you have in a video or phone conference...

10. HOW DO YOU USE TECHNOLOGY ON A DAILY BASIS, IN YOUR WORK AND FOR YOUR PLEASURE?

This is a great question because it shows your comfort level with technology, which is very important for a remote worker because you will be working with technology over time...