Senior Advisor, Communications & OBA Supervisory Principal

LPL Financial

. Review and approve marketing materials and other public communications .

Posted 3/27/2026full-timeRemote • California, North Carolina • 🇺🇸 United StatesSenior💰 $74,083 - $123,471 per yearWebsite

About the role

Key responsibilities & impact

Review and approve marketing materials and other public communications
Review outside business activities and private securities transactions to ensure compliance with firm policy and state regulations
Consult with advisors on their marketing initiatives, outside business activities and possible private securities transactions
Research and address instances where the firm’s policies are not being followed
Assist with research and response to regulatory inquiries including branch exams
Contribute to department initiatives that may include policy updates and training
Other tasks and projects as assigned

Requirements

What you’ll need

3+ years of prior financial services and advertising/marketing compliance review experience
Prior experience in a client-facing role – very comfortable on the phone and be able to explain the why behind complex issues, ask open-ended questions
Strong knowledge of FINRA, SEC, and State rules and regulations
Licensing Requirement: Series 7, 24
Core Competencies: Ability to work in a fast-paced/high-volume environment and be flexible with work schedule
Customer Focus, Collaboration, Time Management & Organization, Excellent oral and written communication skills
Ability to multi-task, strong attention to detail, excellent problem-solving and follow-up skills are essential for this position
Working knowledge of Excel, Word, and PowerPoint
Excellent customer service skills and the ability to communicate effectively with individuals at various levels

Benefits

Comp & perks

401K matching
health benefits
employee stock options
paid time off
volunteer time off

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills & Tools

financial services compliance reviewadvertising compliance reviewmarketing compliance reviewregulatory inquiries responsepolicy updatestraining developmentproblem-solvingattention to detailmulti-tasking

Soft Skills

customer focuscollaborationtime managementorganizationoral communicationwritten communicationflexibilityclient-facing skillsopen-ended questioning

Certifications

Series 7Series 24