
5001 - 10000 employees
Founded LPL Financial
💼 Consulting
🛡️ Insurance
💸 Finance
Consulting • Insurance • Finance
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.
🔥 20 hours ago
🇺🇸 United States – Remote
💵 $74.1k - $123.5k / year
⏰ Full Time
🟠 Senior
🦅 H1B Visa Sponsor
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5001 - 10000 employees
Founded LPL Financial
💼 Consulting
🛡️ Insurance
💸 Finance
Consulting • Insurance • Finance
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.
• Review and approve marketing material requests from Financial Advisors and home office employees • Evaluate marketing materials and communications with the public for principal approval or provide guidance on required changes • Consult with advisors on their marketing initiatives • Research and address instances where firm policies are not being followed • Assist with research and responses to regulatory inquiries, including branch exams • Contribute to department initiatives such as policy updates and training • Complete other assigned tasks and projects
• 3+ years of prior financial services and advertising/marketing compliance review experience • Prior experience in a client-facing role • Ability to engage stakeholders by phone and explain complex issues clearly and concisely • Ability to articulate the rationale behind decisions or processes • Ability to use open-ended questioning techniques to gather information and drive effective conversations • Knowledge of FINRA, SEC, and State rules and regulations • Series 7 and 24 licenses • Ability to work in a fast-paced, high-volume environment and flexibility with work schedule • Excellent oral and written communication skills • Strong attention to detail, problem-solving, and follow-up skills • Working knowledge of Excel, Word, and PowerPoint • Customer service skills and ability to communicate effectively with individuals at various levels
• 401K matching • Health benefits • Employee stock options • Paid time off • Volunteer time off • Competitive LPL Total Rewards package
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