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Mgr, Compliance (Marketing Regulatory Review)

Job ID: R-003413 Date posted: 06/14/2018 Primary Location CA-San Diego

The Manager in Marketing Regulatory Review (MRR) will be responsible for managing a team of analysts who review and approve marketing materials and other public communications from Financial Advisors and home office employees.
When managing review staff, responsibilities will include performing quality checks on analyst reviews, handling advisor escalations, conducting performance reviews with staff, addressing performance issues, and supporting a team of analysts. 

Essential Functions:

•         Ability to formulate and implement departmental strategies
•         Contribute to department initiatives that may include policy updates and training
•         Excellent oral and written communication skills
•         Excellent management, and human relations skills
•         Strong mentoring skills
•         Ability to meet deadlines in a fast paced environment
•         Highly analytical with excellent research skills
•         Knowledge of FINRA  SEC, and State rules and regulations
•         Serve as a resource to Advisors and Home Office Staff on communications with the public
•         Ability to function cooperatively, and build consensus on compliance issues among managers, employees and representatives
•         Ability to work with advisors and other team members on complex issues

Other Job Duties

•         Consult with advisors on their marketing initiatives
•         Research and address instances where firm’s policies regarding communications with the public are not being followed
•         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

•         Bachelor's degree in business related field preferred
•         5+ years industry experience
•         2+ years Marketing Regulatory Review/Advertising Compliance experience preferred
•         Management or Supervisory experience preferred
•         Series 7, 24 Required, other licenses a plus
•         Experience with all Microsoft applications, particularly, Excel, Word, PowerPoint, SharePoint, and VISIO

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