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Compliance Analyst

Job ID: R-013022 Date posted: 02/18/2021 Primary Location SC-Fort Mill Other Locations 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.

We are seeking an individual who understands our mission of taking care of our advisors so they can take care of their clients.As an Analyst, you will provide support and customer service to our advisors and home office staff.This role requires an individual who is willing to build relationships, but also not afraid to communicate with advisors or staff daily via telephone to discuss potential issues and/or policy requirements regarding public communications.You will serve as the front-line resource to advisors and Home Office staff and help make the review and approval process seamless and easy.

We are looking for someone who is a self-starter, independent thinker and flexible to changes.If you are focused on results, able to team with others and respond promptly and calmly to change, we invite you to apply!

Essential Functions:
• In consultative manner, promptly analyze marketing materials and other forms of communication with the public in order to provide initial approval while meeting the required timeframes

• Provide instructions to individuals who submitted communication materials needing adjustments prior to obtaining approval
• Consult with advisors via telephone or other communication manners on their marketing initiatives
• Research and address instances where the Firm’s policies regarding communications with the public are violated

• Serve as a dedicated 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 responses to regulatory inquiries, including branch exams, regarding communications with the public
• Contribute to department initiatives including policy updates and training

• Meet established Firm deadlines while reviewing and approving communication materials

• Other job duties as requested

• Bachelor's degree preferred
• Minimum of 3+ years of relevant experience
• Series 7 and 24 required, other licenses are a plus
Advertising/Marketing compliance review experience
• Strong working knowledge of Excel, Word, and Access
Excellent oral and written communication as well as interpersonal skills
Analytical thinker with superior time management qualities

About CLR

The Compliance, Legal & Risk (CLR) team is focused on delivering an industry-leading client service and risk management experience by providing advisors and our internal business partners with proactive guidance, advice, advocacy and consultative partnerships.

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 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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  • Compliance, Fort Mill, South Carolina, United StatesRemove