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Sr Analyst, Marketing Regulatory Review Social Media Team

Job ID: R-007910 Date posted: 01/10/2020 Primary Location SC-Remote Other Locations SC-Fort Mill

The Analyst, Marketing Regulatory Review Social Media Team, will monitor and work to ensure the compliant use of social media marketing communications from Financial Advisors and home office employees.

Essential Functions:

  • Review and provide principal approval for social media static profiles and interactive content.
  • 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.

Other Job Duties:

  • Educate advisors, financial institutions, and home office employees regarding communications with the public, specifically as they are used on social media platforms.
  • 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


  • Series 7 and Series 24
  • Bachelor's degree preferred
  • 3+ years of relevant experience in financial services
  • Advertising/Marketing compliance review experience preferred
  • Strong working knowledge of Excel and Word
  • 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 4,200 employees with primary offices in Boston, Charlotte, and San Diego.

*As reported by Financial Planning magazine, June 1996-2019, based on total revenue.

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 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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