AVP, Marketing Regulatory Review

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October 1

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LPL Financial

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Finance • Fintech

LPL Financial is a leading provider of wealth management services, supporting financial professionals, institutions, and individual investors. With a comprehensive suite of tools and resources, LPL Financial enables advisors to build their businesses and provide personalized financial advice. They offer a wealth management platform, consulting services, technology integration, investment research, and support for both organic and inorganic growth for businesses and advisors. LPL Financial also focuses on sustainable investing and social responsibility while maintaining robust regulatory oversight.

5001 - 10000 employees

Founded LPL Financial

💸 Finance

💳 Fintech

📋 Description

• Lead the program, ensuring compliance with advertising and marketing regulations, including digital platforms, social media, public appearances, and performance advertising • Develop and implement policies, procedures, and controls that support compliant and effective communication strategies • Provide strategic oversight and regulatory guidance for high-impact marketing initiatives, including third-party awards and designations, recruiting campaigns, and brand and thought leadership initiatives • Build and nurture a team of professionals who provide timely, accurate, and business-aligned reviews of communications • Foster a culture of accountability, continuous improvement, and client service within the team • Collaborate with cross-functional leaders to identify and implement control enhancements and business practices that align with regulatory expectations • Manage resolution of issues identified internally or by regulators, auditors, or third-party assessments • Serve as a strategic advisor to firm leadership and governance committees on matters related to public communications • Represent the firm in interactions with regulators and auditors, ensuring transparency and responsiveness • Partner closely with senior leaders across departments to drive alignment between compliance requirements and business objectives

🎯 Requirements

• Bachelor’s degree • FINRA Series 7 and 24 • 8+ years of experience in financial services or a regulatory agency • 5–7 years of experience with communications regulations and requirements • Deep understanding of FINRA, SEC, and state rules governing public communications • Proven ability to think strategically and execute tactically in a complex regulatory environment • Strong attention to detail and a proactive approach to problem-solving • Demonstrated success in managing multiple priorities under tight deadlines • Experience influencing outcomes across organizational boundaries and leading through others • Comfortable presenting to and engaging with C-suite and senior leadership

🏖️ Benefits

• 401K matching • Health benefits • Employee stock options • Paid time off • Volunteer time off • Competitive LPL Total Rewards package