Senior Advisor, Communications – OBA Principal

LPL Financial

Senior Advisor Communications & OBA Principal at LPL Financial reviewing marketing materials and ensuring compliance within financial services. Leading and educating teams on marketing regulations and public communications.

Posted 6/26/2026full-timeFort Mill • Arizona, North Carolina • 🇺🇸 United StatesSenior💰 $74,057 - $123,497 per yearWebsite

About the role

Key responsibilities & impact

Evaluate marketing materials and other forms of communication with the public to provide principal approval or provide guidance on changes that can lead to an approval.
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

Bachelor’s Degree Preferred
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.
Knowledge of FINRA, SEC, and State rules and regulations
Licensing Requirement: Series 7, 24
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

✓ Tailor your resume

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 complianceregulatory inquiries responsepolicy updatesproblem-solvingattention to detail

Soft Skills

customer focuscollaborationtime managementorganizationoral communicationwritten communicationmulti-taskingflexibility

Certifications

Bachelor's DegreeSeries 7Series 24