Job Overview:
The Senior Advisor Communications & OBA 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.
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’re looking for strong collaborators who deliver exceptional client experiences and thrive in fast-paced, team-oriented environments. Our ideal candidates pursue greatness, act with integrity, and are driven to help our clients succeed. We value those who embrace creativity, continuous improvement, and contribute to a culture where we win together and create and share joy in our work.
Requirements:
Bachelor’s Degree Preferred
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.
Knowledge of FINRA, SEC, and State rules and regulations
Licensing Requirement: Series 7, 24
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:
Pay Range:
$74,057.00 - $123,497.00
Actual 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!
