VP, Privacy and Healthcare Regulatory
Omada Health
AVP, Marketing Regulatory Review
LPL Financial
full-time
Posted on:
Location Type: Remote
Location: Remote • 🇺🇸 United States
Visit company websiteSalary
💰 $101,625 - $169,375 per year
Job Level
Lead
About the role
- Lead the program, ensuring compliance with advertising and marketing regulations, including digital platforms, social media, public appearances, and performance advertising
- Develop and implement policies, procedures, and controls that support compliant and effective communication strategies
- Provide strategic oversight and regulatory guidance for high-impact marketing initiatives, including third-party awards and designations, recruiting campaigns, and brand and thought leadership initiatives
- Build and nurture a team of professionals who provide timely, accurate, and business-aligned reviews of communications
- Foster a culture of accountability, continuous improvement, and client service within the team
- Collaborate with cross-functional leaders to identify and implement control enhancements and business practices that align with regulatory expectations
- Manage resolution of issues identified internally or by regulators, auditors, or third-party assessments
- Serve as a strategic advisor to firm leadership and governance committees on matters related to public communications
- Represent the firm in interactions with regulators and auditors, ensuring transparency and responsiveness
- Partner closely with senior leaders across departments to drive alignment between compliance requirements and business objectives
Requirements
- Bachelor’s degree
- FINRA Series 7 and 24
- 8+ years of experience in financial services or a regulatory agency
- 5–7 years of experience with communications regulations and requirements
- Deep understanding of FINRA, SEC, and state rules governing public communications
- Proven ability to think strategically and execute tactically in a complex regulatory environment
- Strong attention to detail and a proactive approach to problem-solving
- Demonstrated success in managing multiple priorities under tight deadlines
- Experience influencing outcomes across organizational boundaries and leading through others
- Comfortable presenting to and engaging with C-suite and senior leadership
Benefits
- 401K matching
- Health benefits
- Employee stock options
- Paid time off
- Volunteer time off
- Competitive LPL Total Rewards package
Applicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard skills
compliancepolicy developmentcommunication strategiesregulatory guidanceissue resolutionstrategic advisingperformance advertisingmarketing regulationsthird-party assessmentsbusiness practices
Soft skills
leadershipteam buildingaccountabilitycontinuous improvementclient servicestrategic thinkingproblem-solvingattention to detailinfluencing outcomespresentation skills
Certifications
Bachelor's degreeFINRA Series 7FINRA Series 24
