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Marketing Regulatory Review (Compliance) Intern

Job ID: R-008744 Date posted: 02/18/2020 Primary Location CA-San Diego

Summer Intern, Marketing Regulatory Review Intern (Compliance, Legal and Risk)

Interns will be integrated into the Marketing Regulatory Review Service Team and be key members that will assist in the completion of various tasks within the group. In addition, interns will assist in other assignments throughout the internship period. 

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.

Marketing Regulatory Review (MRR) provides oversight for all communications with the public to ensure compliance with applicable regulatory and state requirements, and LPL policies. This position will serve as a resource for the MRR Service Team in various tasks and projects.

What You'll Do

Our competitive 10- week paid graduate internship is an unparalleled opportunity to develop as a leader while sharpening your skills. The aim of our internship program is to provide students a valuable workplace experience to enhance their educational and professional goals. The projects that you drive during the summer will be tailored to your interests and will strategically affect change at our company. You will also have the chance to develop a deeper understanding of our culture and core values though career workshops, senior executive interactions, and community involvement opportunities.

We're looking for goal-oriented people who thrive in a fast-paced team environment and are eager to apply their problem solving skills to real business challenges. We empower employees to transform their skills, interests and connections into meaningful, collaborative solutions that work for the good of all of our stakeholders – our colleagues, customers and communities.

Responsibilities

  • Assist service team members in researching for solutions
  • ComplianceMAX Tool administrative tasks and projects.
  • Maintain data points used for metrics reporting
  • Administrative tasks

Other Duties/Skill Requirements

  • College student who will have completed their sophomore or junior year in 2020
  • Strong MS Office skills, Salesforce experience preferred (proficiency in Vizio a plus)
  • Excellent verbal and written communication skills, a strong work ethic, and extremely organized
  • Ability to work in a fast paced environment

Location

San Diego

Schedule

Monday through Friday 7:00am-4:00pm

Average Hours Per Week

40

Skills & Qualifications

  • College student who will have completed their sophomore or junior year in 2020.
  • We prefer students in the Business, Marketing, Finance or Economic programs, but will also consider other academic programs.
  • 3.0 Minimum Overall GPA Required

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 @lpl.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.

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