Sr. Advisor Communications & OBA Supervisory Principal at LPL Financial | San Diego, CA | $74K/yr – $123K/yr

LPL Financial

Sr. Advisor Communications & OBA Supervisory Principal

San Diego, CA (On-site)

$74K/yr – $123K/yrSenior Level3+ years expFull time

Posted 4 months ago

Top 1% of applicants do these two things.

The other 99% submit and hope. You're about to do something different.

Job Summary

Lead marketing compliance reviews for financial services advertising, ensuring policy adherence and regulatory response across a fast-paced environment.

Own review of marketing materials and outside activities to secure approvals or guidance.
Must-have: 3+ years in financial services marketing compliance with FINRA/SEC rules.
Standout: Broad cross-functional guidance and regulatory response experience.

Job Description

Responsibilities

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

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.
Core Competencies: Customer Focus, Collaboration, Time Management & Organization, Excellent oral and written communication skills.
Core Competencies: Ability to multi-task, strong attention to detail, excellent problem-solving and follow-up skills are essential for this position.
Core Competencies: Working knowledge of Excel, Word, and PowerPoint.
Core Competencies: Excellent customer service skills and the ability to communicate effectively with individuals at various levels.

Preferred

Licensing: 66 (or 63 and 65)
Bachelor’s Degree Preferred

Benefits

401K matching
health benefits
employee stock options
paid time off
volunteer time off
Total Rewards package goes beyond just compensation and insurance, including a mix of traditional and unique benefits, perks, and resources designed to enhance your life both at work and at home

LPL Financial

3.6 Glassdoor

LPL Financial Holdings Inc. (Nasdaq: LPLA) is among the fastest growing wealth management firms in the U.S. As a leader in the financial advisor-mediated marketplace, LPL supports over 29,000 financial advisors and the wealth management practices of approximately 1,100 financial institutions, servicing and custodying approximately $1.9 trillion in brokerage and advisory assets on behalf of approximately 7 million Americans. The firm provides a wide range of advisor affiliation models, investment solutions, fintech tools and practice management services, ensuring that advisors and institutions have the flexibility to choose the business model, services, and technology resources they need to run thriving businesses.

Founded in 1989

San Diego, California, USA

14K employees (392 in marketing)

www.lpl.com

59% recommend to a friend

76% CEO approval