Senior Advertising Supervision Principal

LPL Financial•Charlotte, NC

About The Position

The Senior Advertising Supervision Principal will review and approve marketing material requests from Financial Advisors and home office employees. LPL Financial is a growing wealth management firm that offers a collaborative environment and the freedom to make an impact. They provide cutting-edge resources and support to help employees build a successful career while assisting clients in achieving their financial goals.

Requirements

3+ years of prior financial services and advertising/marketing compliance review experience
Prior experience in a client-facing role
Ability to confidently engage with stakeholders by phone, explain complex issues in a clear and concise manner, articulate the rationale behind decisions or processes, and utilize open-ended questioning techniques to gather information and drive effective conversations.
Knowledge of FINRA, SEC, and State rules and regulations
Licensing: Series 7, 24
Ability to work in a fast paced/high volume environment and be flexible with work schedule.
Customer Focus, Collaboration, Time Management & Organization, Excellent oral and written communication skills.
Ability to multi-task, strong attention to detail, excellent problem-solving and follow-up skills are essential for this position.
Working knowledge of Excel, Word, and PowerPoint.
Customer service skills and the ability to communicate effectively with individuals at various levels.

Nice To Haves

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

Responsibilities

Evaluate marketing materials and other forms of communication with the public to provide principal approval or provide guidance on changes that can lead to an approval.
Consult with advisors on their marketing initiatives.
Research and address instances where the firm’s policies are not being followed.
Assist with research and response to regulatory inquiries including branch exams.
Contribute to department initiatives that may include policy updates and training.
Other tasks and projects as assigned.