Mgr, Supervision Advisor Communication

LPL Financial • Charlotte, NC

23h

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.

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
• 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

• 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

What This Job Offers

• Job Type: Full-time
• Career Level: Manager
• Number of Employees: 1,001-5,000 employees