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Analyst, Compliance

Job ID: R-007417 Date posted: 08/13/2019 Primary Location SC-Fort Mill Other Locations CA-San Diego

An Analyst 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 while acting as a resource, lead, and mentor to the service team by assisting with questions, handling escalated items, and facilitating information distribution.  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.

Essential Functions:

  • Provide white-glove customer service when providing advisors and their staff directional guidance on their marketing initiatives in accordance with applicable regulatory requirements
  • Research complex situations, set customer expectations, and define the actions necessary to resolve the situation
  • Communicate operational and financial industry policies and procedures
  • 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
  • Serve as a resource to Advisors and Home Office Staff on communications with the public
  • Answer 30 - 40 incoming calls and 15-20 emails per day from Advisors and their support staff, Financial Institutions and other members of the firm
  • Located in the Fort Mill or San Diego Office

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
  • Performing Quality Control


  • 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.

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, San Diego, California, United StatesRemove
  • Compliance, Fort Mill, South Carolina, United StatesRemove