Senior Advisor Communications & OBA Supervisory Principal

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.
• What are we looking for?

Requirements

• 3+ years of prior financial services and advertising/marketing compliance review experience
• Prior experience in a client-facing role
• 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
• Oral and written communication skills.
• Ability to multi-task, attention to detail, problem-solving and follow-up skills are essential for this position.
• Working knowledge of Excel, Word, and PowerPoint.
• Customer service skills and the ability to communicate effectively with individuals at various levels.
• Preferences:
• Licensing: 66 (or 63 and 65)
• Bachelor's Degree Preferred
• Pay Range:
• $74,057.00 - $123,497.00
• Company Overview:
• For further information about LPL, please visit www.lpl.com .
• Join the LPL team and help us make a difference by turning life's aspirations into financial realities. Please log in or create an account to apply to this position. Principals only. EOE.
• Information on Interviews:
• LPL will only communicate with a job applicant directly from an @lplfinancial.com email address and will never conduct an inte

Benefits

Additional Information

Where Ambition Meets Innovation Build a career that matches all your initiative with an impressive dose of innovation. From cutting-edge resources and a collaborative environment to the freedom to make an impact and more, you'll find the ingredients you need at LPL Financial to shape your success while helping clients pursue their financial goals Job Overview The Senior Advisor Communications & OBA Supervisory Principal will review and approve marketing materials and other public communications as well as review Outside Business Activity and Private Securities Transaction requests from Financial Advisors and home office employees. The Principal will serve as a Subject Matter Expert (SME) to help educate team members and home office employees regarding communications with the public and outside business activities.

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