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Sr Analyst , Project & Policy Management, Marketing Regulatory Review

Job ID: R-004317 Date posted: 01/03/2019 Primary Location SC-Fort Mill Other Locations CA-San Diego

The Senior Analyst, Project and Policy Management Marketing Regulatory Review will be responsible for planning, coordinating, implementing and finalizing projects according to specifications and deadlines for the department. A high-level of attention to customer service is expected. The person who holds this position will help maintain our commitment to best practices in order to align with management/department goals.

Essential Functions:

  • Managing projects independently
  • Tracking and reporting on status of projects
  • Maintaining communication with accountable parties
  • Implementing changes that are beneficial to the department
  • Create procedures to support implementation of projects when necessary
  • Identify issues and ensure timely actions to resolve, including escalating when necessary
  • Keep management and key stakeholders well-informed on a timely basis on project progress, status and/or concerns for each assignment ensuring that expectations are met or exceeded
  • Participate in researching and responding to periodic regulatory inquiries
  • Responsible for updating and recommending changes for policies and procedures


  • Bachelor's degree preferred
  • The Series 7 & 24 are required at time of application to be considered.  In addition, the 63 and 65 (or 66) are also strongly preferred. 
  • Minimum of 3+ years of relevant experience
  • Advertising/Marketing compliance review experience preferred
  • Project Management experience preferred
  • Superb efficiency in Microsoft Word, Excel, PowerPoint, and Visio

Other Job Duties:

  • Knowledge of FINRA, SEC, and state rules and regulations
  • Highly motivated and able to adapt to changing priorities
  • Ability to work in a fast paced/high volume environment and be flexible with work schedule
  • Ability to multi‐task and deliver complex projects on time
  • Highly analytical with excellent research skills
  • Strong attention to detail, excellent problem‐solving and follow‐up skills
  • Excellent oral and written communication skills
  • Ability to function independently and cooperatively, and build consensus on projects

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