Senior Advisor Communications & OBA Supervisory Principal

LPL Financial•Fort Mill, SC

1d•$74,057 - $123,497

About The Position

The Senior Advisor Communications & OBA Supervisory Principal will review and approve marketing materials and other public communications as well as review Outside Business Activity and Private Securities Transaction requests from Financial Advisors and home office employees. The Principal will serve as a Subject Matter Expert (SME) to help educate team members and home office employees regarding communications with the public and outside business activities.

Requirements

3+ years of prior financial services and advertising/marketing compliance review experience
Prior experience in a client-facing role
Knowledge of FINRA, SEC, and State rules and regulations
Series 7, 24 licensing
Ability to work in a fast paced/high volume environment and be flexible with work schedule.
Customer Focus, Collaboration, Time Management & Organization
Oral and written communication skills.
Ability to multi-task, attention to detail, 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

Series 66 (or 63 and 65) licensing
Bachelor’s Degree

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.
Review outside business activities and private securities transactions to ensure compliance with firm policy and state regulations.
Consult with advisors on their marketing initiatives, outside business activities and possible private securities transactions.
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.