Analyst, ComplianceApply Job ID: R-001921 Date posted: 01/11/2018 Primary Location CA-San Diego
The Analyst, Marketing Regulatory Review will review and approve marketing materials and other public communications from Financial Advisors and home office employees.
• 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.
• 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
LPL Financial, the nation’s largest independent broker/dealer since 1996* and the fourth largest broker/dealer overall, serves as an enabling partner to more than 14,000 independent financial advisors and approximately 700 financial institutions. Since its formation decades ago, LPL has focused on one primary mission -- enabling independent financial advisors to bring objective and un-biased financial advice to millions of Americans.
Headquartered in Boston, San Diego, and Fort Mill, and powered by more than 3,300 client-centric employees, LPL is financially strong and growing.
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.