Analyst, ComplianceApply Job ID: R-019360 Date posted: 11/15/2021 Primary Location CA-Remote
We are looking to hire an Analyst within the Marketing Regulatory Review Department, which is a part of LPL’s Compliance, Legal, & Risk organization.
The Analyst, Marketing Regulatory Review will review and approve marketing materials and other public communications from Financial Advisors and home office employees.
• In consultative manner, analyze marketing materials and other forms of communication with the public and provide principal approval or instructions to change the material in order to provide approval.
• Consult with advisors on their marketing initiatives.
• Research and address instances where firm’s policies regarding communications with the public are not being followed.
• Serve as a resource to Advisors and Home Office Staff on communications with the public.
Other Job Duties:
• Educate advisors, financial institutions, and home office employees regarding communications with the public.
• Assist with research and response to regulatory inquiries including branch exams regarding communications with the public.
• Contribute to department initiatives that may include policy updates and training
• Bachelor's degree preferred
• Minimum of 3+ years of relevant experience
• The Series 7, Series 24 and Series 63 are required, other licenses are a plus
• Advertising/Marketing compliance review experience
• Strong working knowledge of Excel, Word, and Access
• Must have excellent customer service skills and be able to communicate effectively
• Candidates should be focused on results, seek out responsibility, be able to effectively team with others, and be able respond promptly and calmly to changes
At LPL, we believe that objective financial guidance is a fundamental need for everyone. As the nation’s leading independent broker-dealer, we offer an integrated platform of proprietary technology, brokerage, and investment advisor services. We provide you with a work environment that encourages your creativity and growth, a leadership team that is supportive and responsive, and the opportunity to create a career that has no limits, only amazing potential.
We are one team on one mission. We take care of our advisors, so they can take care of their clients.
Because our company is not too big and not too small, you can seize the opportunity to make a real impact. We are committed to supporting workplace equality, and we embrace the different perspectives and backgrounds of our employees.We also care for our communities, and we encourage our employees to do the same. This creates an environment in which you can do your best work.
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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 interview online or in a chatroom forum. During an interview, LPL will not request any form of payment from the applicant, or information regarding an applicant’s bank or credit card. Should you have any questions regarding the application process, please contact LPL’s Human Resources Solutions Center at (800) 877-7210.