Senior Principal Regional Supervisor (OSJ / Series 24)

Location: Remote (Prioritizing regional markets within CA, TX, TN, OR, MO, HI, IL, OH, LA, AZ, ME, WI, FL)

The Numbers: 115K – 185K Base Salary or Market (Positioned for seasoned supervisory principals seeking autonomous desk ownership outside high-friction metro hubs)

The Big Picture

Our client is an established, independent boutique broker-dealer supporting an elite network of approximately 40 registered independent contractor advisors across 13 core states. Operating with flat executive access directly to executive leadership, the firm provides independent practitioners with high-touch operational agility. Having recently recalibrated their regulatory and supervisory commitments, the firm is investing directly into supervisory infrastructure to institutionalize transparent, high-integrity oversight.

The Mission

This seat serves as the regulatory backbone and supervisory anchor for the firm's national independent branch network. You will own the day-to-day trade surveillance, branch oversight, and supervisory review framework, translating regulatory mandates into practical, repeatable operational workflows. Reporting directly to executive leadership, you will provide the structural certainty required to protect the firm while partnering constructively with independent advisors.

The Daily Grind (The Good Kind)

• Supervisory Sovereignty: Conduct primary OSJ trade surveillance and transaction reviews across an independent contractor network, maintaining comprehensive supervisory logs and audit-ready documentation.
• Product Surveillance & Suitability: Execute rigorous deferred variable annuity suitability reviews under FINRA Rule 2330, actively auditing replacement rationales, 1035 exchange workflows, and multi-state compliance logs.
• WSP Operationalization: Translate regulatory undertakings and compliance standards directly into living Written Supervisory Procedures (WSPs), establishing practical surveillance routines that eliminate operational ambiguity.
• Advisor Partnership: Serve as the primary regulatory advisor and escalation point for independent branch offices, balancing strict supervisory boundaries with practical business problem-solving.

Your Toolkit

• The Battle Scars: 5+ years of direct broker-dealer supervisory or compliance experience, with deep exposure to supervising multi-state 1099 independent contractor advisors. Active Series 24 registration is required (Series 53, 4, or state annuity credentials preferred).
• Technical Mastery: Comprehensive working knowledge of FINRA Rule 2330, variable annuity replacement and exchange surveillance, WSP implementation, and automated trade review platforms.
• Detail Threshold: Exceptional audit discipline with the patience to examine complex annuity structures, audit trails, and multi-jurisdiction supervisory logs without losing momentum.
• Communication Edge: An objective, executive communication style capable of enforcing compliance standards with independent producers firmly, constructively, and without bureaucratic posturing.

The Payoff

• Professional Autonomy: High-level desk ownership with direct access to senior executive leadership, free from multi-layered committee bureaucracy.
• Culture & Trajectory: A clean, remote desk environment built on operational clarity, structural respect for the supervisory function, and an end to top-down sales interference.
• Competitive Package: Competitive base salary in the 115K – 135K range, supplemented by comprehensive benefits, flexible remote structure, and full operational support.

Our Partnership Approach

Thank you for trusting Lupton Partners with your career transition. We take immense pride in our work, but our focus is always on the outcome—for both the candidates we represent and the companies we serve. If the first role we discuss isn't the perfect fit, we won't force it. Our goal is to land you in the right place, not just the next place. We also recognize that career changes—even the most exciting ones—come with a side of stress. That’s normal. We’re here to handle the heavy lifting and provide clarity at every step.

What to Expect

• The Introduction Call: This is a high-level chemistry check. We’ll dive into your history, map out your career goals, and get real about compensation and advancement targets.
• Active Searches: We’ll match your story to our clients' needs. We keep compensation targets front-and-center so nobody’s time is wasted.
• Client Submissions: It is our promise that we do not present your name or credentials to clients without clear communication and your explicit permission.
• Interview Feedback: This is where we earn our keep. Call us as soon as you hit the parking lot. If you think you fumbled a question or found a better answer ten minutes too late, let’s talk.
• Background Checks: Absolute transparency. We manage red flags together before they become "surprises."
• Offers: No surprises. We align on numbers early so the formal letter is a "green light" celebration.

Questions? Reach out anytime. Travis Lupton Office: 913-521-3303 | Mobile: 913-231-8472 travis@luptonpartners.com