What are the responsibilities and job description for the Analyst, Compliance position at LPL Financial?
Job Overview :
The 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.
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.
Review non-electronic correspondence and third-party awards.
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.
What are we looking for?
We want strong collaborators who can deliver a world-class client experience . We are looking for people who thrive in a fast-paced environment , are client-focused , team oriented , and are able to execute in a way that encourages creativity and continuous improvement .
Requirements :
3 years of prior financial services and advertising / marketing compliance review experience
Licensing Requirement : Series 7 &Series 24
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
Core Competencies :
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.
Preferences :
Bachelor’s Degree Preferred
Licensing : 66 (OR 63 AND 65)
LI-Hybrid #LI-Onsite #LI-PA
Pay Range :
60,900.00 - $101,500.00Actual base salary varies based on factors, including but not limited to, relevant skill, prior experience, education, base salary of internal peers, demonstrated performance, and geographic location. Additionally, LPL Total Rewards package is highly competitive, designed to support your success at work, at home, and at play – such as 401K matching, health benefits, employee stock options, paid time off, volunteer time off, and more. Your recruiter will be happy to discuss all that LPL has to offer!
Company Overview :
LPL Financial Holdings Inc. (Nasdaq : LPLA) was founded on the principle that the firm should work for advisors and institutions, and not the other way around. Today, LPL is a leader in the markets we serve, serving more than 23,000 financial advisors, including advisors at approximately 1,000 institutions and at approximately 580 registered investment advisor ("RIA") firms nationwide. We are steadfast in our commitment to the advisor-mediated model and the belief that Americans deserve access to personalized guidance from a financial professional.
At LPL, independence means that advisors and institution leaders have the freedom they deserve to choose the business model, services, and technology resources that allow them to run a thriving business. They have the flexibility to do business their way. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors and institutions, so they can take care of their clients.
Join LPL Financial : Where Your Potential Meets Opportunity
At LPL Financial, we believe that everyone deserves objective financial guidance. As the nation’s leading independent broker-dealer, we offer an integrated platform of cutting-edge technology, brokerage, and investment advisor services.
Salary : $60,900 - $101,500
