AVP, Marketing Regulatory Review (Research Materials)
LPL Financial Services - Boston, MA

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Our Assistant Vice President, Marketing Regulatory Review – Research will review and approve marketing materials and other public communications from our Research department.

Essential Functions :
  • In consultative manner, analyze marketing materials and other forms of Research communication with the public and provide principal approval or instructions to change the material in order to provide approval.

  • Consult with Research on their marketing initiatives and work independently with senior management.

  • Research and address instances where firm’s policies regarding communications with the public are not being followed.

  • Serve as a resource to Research and Home Office Staff on communications with the public.

O ther Job Duties :
  • Educate advisors, financial institutions, and home office employees regarding communications with the public.

  • Assist with research and response to regulatory inquiries including branch exams regarding communications with the public.

  • Contribute to department initiatives that may include policy updates and training

    • Bachelor's degree required

    • Minimum of 5+ years of relevant experience

    • The Series 7 and Series 24 are required, other licenses are a plus

    • Performance Advertising/Marketing compliance review experience required

    • Strong knowledge of complex products and alternatives investments

    • Strong working knowledge of Excel, Word, and Access

    • Superior communication skills a must – verbal, written, presentation and listening skills

    • Significant experience interacting with employees at all levels, including executive management team

    • Candidates should be focused on results, seek out responsibility, be able to effectively team with others, and be able respond promptly and calmly to changes

    • Position will based in Boston

    We offer a competitive salary and benefits package. Please login or create an account to apply to this position. Principals only. EOE

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