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Senior Analyst, Compliance

Job ID: R-004642 Date posted: 10/30/2018 Primary Location SC-Fort Mill

Senior Analyst:

The Senior Analyst, Marketing Regulatory Review will review and approve marketing materials and other public communications from Financial Advisors and home office employees.

Essential Functions:

• In 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.
• Consult with advisors on their marketing initiatives
• Research and address instances where firm’s policies regarding communications with the public are not being followed.
• Serve as a resource to Advisors and Home Office Staff on communications with the public.
- Work only on LPL Marketing department submissions with an emphasis on the Virtual Chief Marketing Officer program
- Submit all VCMO materials and correspondence to ComplianceMax
- Advise VCMO team on best practices
- Record keeping of all content use within VCMO for all advisors in program

Other Job Duties:

• Educate advisors, financial institutions, and home office employees regarding communications with the public.
• Assist with research and response to regulatory inquiries including branch exams 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 A
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 focused on results, seek out responsibility, be able to effectively team with others, and be able respond promptly and calmly to changes

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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  • Compliance, Fort Mill, South Carolina, United StatesRemove