LPL Financial

Senior Advisor, Communications & OBA Supervisory Principal

LPL Financial

full-time

Posted on:

Location Type: Remote

Location: California • North Carolina • United States

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Salary

💰 $74,083 - $123,471 per year

Job Level

Senior

About the role

  • 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

  • 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
  • 401K matching
  • health benefits
  • employee stock options
  • paid time off
  • volunteer time off
Applicant Tracking System Keywords

Tip: use these terms in your resume and cover letter to boost ATS matches.

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