Define and execute the enterprise strategy for E-Communications Compliance aligned with regulatory expectations and LPL's digital transformation roadmap
Establish and maintain a robust second-line risk and controls framework governing all marketing and electronic communications platforms
Serve as a trusted advisor to senior executives on regulatory risk, emerging trends, and compliance strategy
Risk Oversight & Regulatory Compliance
Oversee compliance of all electronic communication channels including email, text messaging, chat, social media, marketing platforms, scheduling tools, and client portals
Ensure adherence to SEC, FINRA, state regulations, and internal policies
Proactively identify, escalate, and resolve compliance risks, control gaps, and emerging regulatory requirements
Lead regulatory engagement and support audits, exams, and inquiries related to marketing and E-Communications
Cross-Functional Partnership
Partner with Technology, Product, Legal, Supervision, and Business Leaders to ensure compliant design and deployment of digital communication tools
Influence enterprise initiatives involving advisor technology, digital engagement, and automation
Act as escalation point for complex compliance issues and ensure timely resolution
Operational Excellence & Innovation
Drive the implementation of scalable systems, tools, and automation to enhance monitoring and compliance effectiveness
Champion data-driven decision-making and advanced analytics within compliance processes
Lead large-scale, complex initiatives and transformation programs impacting firm-wide communications oversight
What are we looking for?
Requirements
Bachelor's degree in Business, Finance, Technology, or related field
10+ years of experience in financial services, compliance, legal, or risk management
5+ years of leadership experience with increasing scope, including managing managers and large teams
Core Competencies:
Deep expertise in FINRA 2210: Communications with the public regulations, including SEC and state requirements
Proven experience leading enterprise-level programs and complex regulatory init
Benefits
Vision insurance
Additional Information
Lead with Purpose, Unlock Your Team's Passion
At LPL, people leaders hold the key to the employee experience - shaping culture, driving performance, and guiding individuals to new heights. Because when that happens, we all win - clients, LPL, and most importantly our, employees.
If you're ready to lead with intention and discover what's possible, LPL Financial invites you to apply today.
The Marketing and Electronic Communication Compliance Officer must have a strong understanding of marketing practices and operations, brand management practices and advertising and promotional regulations, including Truth in Advertising laws, UDAP/UDAAP (Unfair, Deceptive, or Abusive Acts or Practices), the CAN-SPAM Act, TCPA, and applicable state marketing compliance requirements, and be able to translate these rules into actionable guidelines for transparent, consistent, and compliant communications across all channels. They should also be familiar with guidelines governing digital marketing (including 1:1 data driven marketing), social media campaigns, email communications, SMS, and print advertising to ensure all materials are accurate, transparent, and compliant.
The role also reviews and monitors marketing guidelines and policies to ensure effective management of reputational risk while producing strong, effective and differentiating marketing and communications to deliver business results. In addition to reviewing and approving marketing content, the role is responsible for ensuring all marketing materials and activities meet regulatory and internal risk standards by reviewing content, developing policies, training teams, monitoring campaigns, and conducting risk assessments. Knowledge of disclosure requirements, fair lending advertising standards, and brand representation rules is essential to mitigate reputational and regulatory risk. Success in this role also requires effective communication and collaboration between departments to support consistent compliance practices and build member trust through clear, ethical, and responsible marketing. Review marketing materials, due diligence responses, investor communications, and other fundraising and reporting-related materials (e.g. quarterly letters, recordings, memoranda, etc.) across various investment strategies from a legal, regulatory, and compliance perspective.
Lplfinancial · Fort Mill