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Compliance Manager, Marketing Regulatory Review

Job ID: R-006991 Date posted: 07/09/2019 Primary Location SC-Fort Mill

As a Manager in Marketing Regulatory Review (MRR), you will supervise and support a team of analysts responsible for reviewing and approving marketing materials and other public communications from Financial Advisors and Home Office employees. The analysts on this team primarily support investment programs operating within a Bank or Credit Union and offices focused on retirement plan business.

In this supervisory role, responsibilities include, but are not limited to, handling advisor escalations and performing quality checks on approved materials. As a manager, you will support a team of analysts, conduct employee reviews and address performance deficiencies as needed. Additionally, this position will assist with researching and responding to regulatory inquiries, including branch examinations, regarding communications with the public.

We are seeking a professional individual who is willing to go the extra mile to assist advisors in making the communications and marketing approval process easy and uncomplicated by working with them on complex issues and consulting on their marketing initiatives. 

Essential Functions:

  • Manage and support a team of analysts
  • Serve as a resource for advisors, financial institutions and home office employees in handling complex matters and understanding policies and regulations regarding communications with the public
  • Research and address instances where the Firm’s policies regarding communications with the public are violated
  • Formulate and implement departmental strategies
  • Contribute to department initiatives, including, but not limited to, policy updates and training
  • Function cooperatively, and build consensus on compliance issues among managers, employees and representatives
  • Other Job Duties as assigned


  • Bachelor's degree in business related field preferred
  • 5+ years industry experience
  • 2+ years Marketing Regulatory Review/Advertising Compliance experience preferred
  • Management or Supervisory experience
  • Series 7, 24 required, other licenses a plus
  • Highly analytical with excellent research skills
  • Knowledge of FINRA, SEC, and State rules and regulations
  • Excellent oral and written communication skills
  • Superior management and interpersonal skills
  • Strong mentoring skills
  • Ability to meet deadlines in a fast paced environment
  • Experience with all Microsoft applications, particularly, Excel, Word, PowerPoint, SharePoint, and VISIO

About LPL Financial:

LPL Financial is a leader in the retail financial advice market and the nation’s largest independent broker/dealer*. We serve independent financial advisors and financial institutions, providing them with the technology, research, clearing and compliance services, and practice management programs they need to create and grow thriving practices. LPL enables them to provide objective guidance to millions of American families seeking wealth management, retirement planning, financial planning and asset management solutions. LPL and its affiliates have more than 3,700 employees with primary offices in Boston, Charlotte, and San Diego.

Our Culture:

If you join LPL, you will join a culture that believes in delivering a world-class client experience and looks to all employees to contribute to that goal by sharing their creativity, experience, and passion for continuous improvement. As a destination of choice, our top priorities are growth and development, social responsibility, and financial health for our employees. 

We offer competitive compensation and industry leading benefits, including a wellness facility with onsite fitness classes, healthy meal choices, and a walk-in clinic. We support employee financial health through a 401k match, ESPP, and employee discounts. Work/life balance is our foundation and is supported through paid holidays, and paid time off (including time to volunteer). We foster a diverse work environment through Employee Resource Groups and diverse strategic partnerships.  

Join the LPL team and help us make a difference by turning life’s aspirations into financial realities. Please login or create an account to apply to this position. Principals only. EOE

*As reported by Financial Planning magazine, June 1996-2017, based on total revenue.

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Area(s) of InterestChoose at least one job category and/or location.

  • Compliance, Fort Mill, South Carolina, United StatesRemove