Mgr, Supervision Advisor Communication

LPL Financial•Fort Mill, SC

1d•$81,267 - $135,445

About The Position

Lead with Purpose, Unlock Your Team’s Passion At LPL, people leaders hold the key to the employee experience — shaping culture, driving performance, and guiding individuals to new heights. Because when that happens, we all win – clients, LPL, and most importantly our, employees. If you're ready to lead with intention and discover what’s possible, LPL Financial invites you to apply today. Responsibilities: Support and manage processes focused on reviewing marketing materials for existing offices with LPL Financial, Employee Advisors and Home Office Employees. Support and manage a high capacity team focused on multiple disciplines of supervision functions applying FINRA 2210 and SEC Marketing Reglations Quickly resolve escalations from business partners across the firm Conduct performance reviews with team members Provide coaching & help with employee growth aspirations Interact with advisors, business consultants and various internal departments as well as senior levels of management in fully evaluating and communicating review determination, as well as, coordination of special projects and investigations Work with assigned business units and provide supervisory expertise and consulting for projects and initiatives Assist with regulatory exams and requests as well as assist with other internal investigations and reviews Perform other duties and complete ad hoc projects as assigned What are we looking for? We’re looking for strong collaborators who deliver exceptional client experiences and thrive in fast-paced, team-oriented environments. Our ideal candidates pursue greatness, act with integrity, and are driven to help our clients succeed. We value those who embrace creativity, continuous improvement, and contribute to a culture where we win together and create and share joy in our work.

Requirements

3+ years of prior financial services and advertising/marketing compliance review experience
Prior experience in a client-facing role
Confident on the phone, able to break down complex topics, and ask thoughtful, open‑ended questions
Demonstrated knowledge of FINRA, SEC, and State rules and regulations
Licensing Requirement: Series 7, 24
Ability to manage work in a fast-paced, high-volume environment with schedule flexibility as business needs require.
Demonstrated capability in customer engagement, collaboration, time management, organization, and clear oral and written communication.
Ability to handle multiple tasks simultaneously, maintain attention to detail, identify issues, and ensure appropriate follow-up
Experience working in Microsoft Excel, Word, and PowerPoint.
Ability to deliver customer support and communication effectively with individuals across multiple levels of the organization.

Nice To Haves

Licensing: 66 (or 63 and 65)
Bachelor's Degree

Responsibilities

Support and manage processes focused on reviewing marketing materials for existing offices with LPL Financial, Employee Advisors and Home Office Employees.
Support and manage a high capacity team focused on multiple disciplines of supervision functions applying FINRA 2210 and SEC Marketing Reglations
Quickly resolve escalations from business partners across the firm
Conduct performance reviews with team members
Provide coaching & help with employee growth aspirations
Interact with advisors, business consultants and various internal departments as well as senior levels of management in fully evaluating and communicating review determination, as well as, coordination of special projects and investigations
Work with assigned business units and provide supervisory expertise and consulting for projects and initiatives
Assist with regulatory exams and requests as well as assist with other internal investigations and reviews
Perform other duties and complete ad hoc projects as assigned