Senior Compliance SpecialistApply Job ID: R-023841 Date posted: 06/09/2022 Primary Location GA-Remote 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.
Senior Compliance Specialist:
A Senior Compliance Specialist on the Marketing Regulatory Review Service Team will provide superior customer service to a large base of financial advisors and their staff, financial institutions, and home office employees as the first line of contact for various Advertising Compliance related issues. This position will serve as a resource for the Marketing Regulatory Review team, whose focus is primarily to ensure compliance with applicable industry rules (State, SEC and FINRA regulations) and company policies regarding Communications with the Public.
You must possess strong problem solving skills, great customer service and be willing to take ownership of issues through resolution and have the ability to coordinate effectively with internal departments to improve processes.
- Provide superior customer service to financial advisors and their staff, financial institutions, and home office employees by handling inquiries via email, with a focus on overall service
- Research complex situations, set customer expectations, and define the actions necessary to resolve the situation
- Communicate operational and financial industry policies and procedures
- Answer emails from Advisors and their support staff, Financial Institutions and other members of the firm.
- Perform post-use spot check functions
- Perform reporting and administrative functions
Other Job Duties:
- Assume ownership of the inquiry and see it through to a timely resolution
- Communicate with internal departments to improve processes and timely processing
- Escalate items to Marketing Regulatory Review Management in a timely manner, when necessary
- Acting proactively to identify any potential issues
- Ability to work in a fast paced environment to handle multiple and competing deadlines and handle high volume
- Bachelor's degree preferred
- 1-2 years of previous customer service experience required
- Industry experience required
- Marketing Regulatory Review experience considered a plus
- S7 and S24 considered a plus
- Knowledge of FINRA, SEC, MSRB and State rules and regulations
- Strong MS Office skills, Salesforce experience preferred
Strong customer focus, excellent verbal and written communication skills, a strong work ethic, and extremely organized
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.
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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.