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Analyst, Compliance

Job ID: R-014039 Date posted: 04/05/2021 Primary Location SC-Fort Mill Other Locations CA-San Diego

Compliance Analyst:

The Compliance Analyst, Marketing Solutions will assist the Manager, Compliance in supporting the Marketing Solutions Program with their compliance needs.


Essential Functions:

• Assist with Advertising Reviews for the Marketing Solutions Content Team

• Submit advisor materials to Compliance Max

• Act as a liaison between the compliance analysts and marketing consultants to communicate any required changes or approval comments

• Attend regular trainings for the Marketing Regulatory Review Team

• Enter all materials used in Compliance Max to ensure requirements for books and records are met
• Assist the Marketing Consultants with website approvals during advisor onboarding
• Audit Social Media profiles as advisors transition to the Marketing Solutions Program

• Perform routine website audits to ensure compliance with regulatory and LPL standards

Other Job Duties:
• Contribute to the Marketing Solutions department initiatives may include policy updates and training

• Perform other tasks as assigned

Qualifications:

• FINRA Series 7 & 24 Required

• Bachelor's degree preferred

• 5-7 years of Financial Services Experience

Advertising/Marketing compliance experience preferred

• Strong working knowledge of Excel, Word, and PowerPoint
• Must have excellent customer service skills and be able to communicate effectively

• Written and verbal communication skills
• 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

Why LPL? 

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.

Want to hear from our employees on what it’s like to work at LPL?  Watch this!

We take social responsibility seriously. Learn more here

Want to see info on our benefits?  Learn more here

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 @lpl.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.

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