Senior Advisor Communications & OBA Principal

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.

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.

• Strong 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:

• Licensing: 66 (or 63 and 65)

#LI-PA

Pay Range:

$71,900.00 - $119,900.00

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!

Why LPL?

At LPL, we believe that objective financial guidance is a fundamental need for everyone. As the nation’s leading independent broker-dealer, we offer an integrated platform of proprietary technology, brokerage, and investment advisor services. We provide you with a work environment that encourages your creativity and growth, a leadership team that is supportive and responsive, and the opportunity to create a career that has no limits, only amazing potential.

We are one team on one mission. We take care of our advisors, so they can take care of their clients.

Because our company is not too big and not too small, you can seize the opportunity to make a real impact. We are committed to supporting workplace equality, and we embrace the different perspectives and backgrounds of our employees. We also care for our communities, and we encourage our employees to do the same. This creates an environment in which you can do your best work.

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Join the LPL team and help us make a difference by turning life’s aspirations into financial realities. Please log in or create an account to apply to this position. Principals only. EOE.

Information on Interviews:

LPL will only communicate with a job applicant directly from an @lplfinancial.com email address and will never conduct an interview online or in a chatroom forum. During an interview, LPL will not request any form of payment from the applicant, or information regarding an applicant’s bank or credit card. Should you have any questions regarding the application process, please contact LPL’s Human Resources Solutions Center at (855) 575-6947.