Marketing Regulatory Review - Senior AnalystApply Job ID: R-004158 Date posted: 08/28/2018 Primary Location SC-Fort Mill Other Locations CA-San Diego
The Senior Analyst, Marketing Regulatory Review will review and approve marketing materials and other public communications from Financial Advisors and home office employees in accordance with all applicable regulatory requirements.
• In a 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.
• Provide white-glove customer service when providing advisors directional guidance on their marketing initiatives in accordance with applicable regulatory requirements.
• Research and address instances where firm’s policies regarding communications with the public are not being followed.
• Accountable for meeting or exceeding target SLAs for content reviews once applicable training has been completed.
• 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.
• 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 and Series 24 are required, other licenses are a plus
• Advertising/Marketing compliance review experience preferred
• Strong working knowledge of Excel, Word, and Access
• Must have excellent customer service skills and be able to communicate effectively
• Candidates should be solution-focused, self-motivated, able to effectively collaborate with others, and able respond promptly and calmly to challenges
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.
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.