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Mgr, Compliance

Job ID: R-023314 Date posted: 05/27/2022 Primary Location SC-Fort Mill Other Locations CA-Remote

Are you a team player with a growth mindset? Are you interested in working in meaningful projects? Do you want to work with cutting-edge technology? Are you interested in being part of a team that is working to transform and do things differently? If so, LPL Financial is the place for you!

LPL Financial (Nasdaq: LPLA) was founded on the principle that the firm should work for the advisor, and not the other way around. Today, LPL is a leader* in the markets we serve, supporting more than 18,000 financial advisors, 800 institution-based investment programs and 450 independent RIA firms nationwide. We are steadfast in our commitment to the advisor-centered model and the belief that Americans deserve access to personalized guidance from a financial advisor. At LPL, independence means that advisors have the freedom they deserve to choose the business model, services, and technology resources that allow them to run their perfect practice. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors, so they can take care of their clients.

Role Overview

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, LPL Corporate, Third Party strategists, LPL Research, and Affinity Vendors. 

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. 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

Requirements

  • 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 preferred
  • Series 7, 24 Required, other licenses a plus
  • Experience with all Microsoft applications, particularly, Excel, Word, PowerPoint, SharePoint, and VISIO
  • Excellent oral and written communication skills
  • Superior management and interpersonal skills
  • Strong mentoring skills
  • Ability to meet deadlines in a fast paced environment
  • Highly analytical with excellent research skills
  • Knowledge of FINRA, SEC, and State rules and regulations

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 @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.

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  • Compliance, Fort Mill, South Carolina, United StatesRemove