Analyst, Marketing Regulatory Review
LPL Financial Services - Remote

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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

Qualifications:
  • 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

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LPL Financial Services - 14 months ago - save job - block
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