Sr. Advisor Communications & OBA Supervisory Principal

LPL Financial • Charlotte, NC

4d

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 – very comfortable on the phone and be able to explain the why behind, complex issues, ask open ended questions.
• Strong knowledge of FINRA, SEC, and State rules and regulations
• Licensing Requirement: 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.
• Excellent customer service skills and the ability to communicate effectively with individuals at various levels.

Nice To Haves

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

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.

Benefits

• 401K matching
• health benefits
• employee stock options
• paid time off
• volunteer time off

What This Job Offers

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