Analyst, Marketing Regulatory Review
LPL Financial Services - Remote

This job posting is no longer available on LPL Financial Services. Find similar jobs: Analyst jobs - LPL Financial Services jobs

Our Analyst, Marketing Regulatory Review will review and approve marketing materials and other public communications from Financial Advisors and home office employees.

Essential Functions :
  • In consultative manner, analyze marketing materials and other forms of communication with the public and provide principal approval or instructions to change the material in order to provide approval.
  • Consult with advisors on their marketing initiatives.
  • Research and address instances where firm’s policies regarding communications with the public are not being followed.
  • Serve as a resource to Advisors 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 preferred
  • Minimum of 3+ years of relevant experience
  • The Series 7 and Series 24 are required, other licenses are a plus
  • Advertising/Marketing compliance review experience preferred
  • Strong working knowledge of Excel, Word, and Access
  • Must have excellent customer service skills and be able to communicate effectively
  • 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
We offer a competitive salary and benefits package. Please login or create an account to apply to this position. Principals only. EOE

Go back to the welcome page

Need further assistance?

Applicant Tracking Software

About this company
21 reviews