AVP - Marketing Regulatory Review

What if you could build a career where ambition meets innovation? At LPL Financial, we empower professionals to shape their success while helping clients pursue their financial goals with confidence. What if you could have access to cutting-edge resources, a collaborative environment, and the freedom to make an impact? If you're ready to take the next step, discover what’s possible with LPL Financial.

Job Overview:

LPL Financial is seeking an Assistant Vice President, Marketing Regulatory Review (MRR) to lead a high-performing team responsible for ensuring that marketing materials and communications distributed by Prudential Advisors and Prudential Financial Home Office staff comply with FINRA, SEC, and state regulations. This role requires a strategic thinker with a solution-oriented and client-centric mindset, capable of enabling business growth while maintaining regulatory integrity. The AVP will partner closely with senior leaders across departments in a fast-paced, dynamic environment, driving alignment between compliance requirements and business objectives.

Responsibilities:

• Lead the program, ensuring compliance with advertising and marketing regulations, including digital platforms, social media, public appearances, and performance advertising.

• Develop and implement policies, procedures, and controls that support compliant and effective communication strategies.

• Provide strategic oversight and regulatory guidance for high-impact marketing initiatives, including:

  • Third-party awards and designations (e.g., Forbes, Barron’s, Financial Times) to ensure accurate representation and compliance with disclosure requirements.

  • Recruiting campaigns targeting financial professionals, ensuring messaging aligns with regulatory standards and firm values.

  • Brand and thought leadership initiatives that elevate advisor visibility while maintaining compliance.

• Build and nurture a team of professionals who provide timely, accurate, and business-aligned reviews of communications.

• Foster a culture of accountability, continuous improvement, and client service within the team.

• Collaborate with cross-functional leaders to identify and implement control enhancements and business practices that align with regulatory expectations.

• Manage resolution of issues identified internally or by regulators, auditors, or third-party assessments.

• Serve as a strategic advisor to firm leadership and governance committees on matters related to public communications.

• Represent the firm in interactions with regulators and auditors, ensuring transparency and responsiveness.

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

• FINRA Series 7 and 24

• 8+ years of experience in financial services or a regulatory agency.

• 5–7 years of experience with communications regulations and requirements.

• Deep understanding of FINRA, SEC, and state rules governing public communications.

• Proven ability to think strategically and execute tactically in a complex regulatory environment.

• Strong attention to detail and a proactive approach to problem-solving.

• Demonstrated success in managing multiple priorities under tight deadlines.

• Experience influencing outcomes across organizational boundaries and leading through others.

• Comfortable presenting to and engaging with C-suite and senior leadership.

 

Pay Range:

$101,625-$169,375/year
 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!
 

Company Overview:

LPL Financial Holdings Inc. (Nasdaq: LPLA) is among the fastest growing wealth management firms in the U.S. As a leader in the financial advisor-mediated marketplace. LPL supports over 29,000 financial advisors and the wealth-management practices of 1,100 financial institution, servicing and custodying approximately $1.9 trillion in brokerage and advisory assets on behalf of approximately 7 million Americans. The firm provides a wide range of advisor affiliation models, investment solutions, fintech tools and practice management services, ensuring that advisors and institutions have the flexibility to choose the business model, services, and technology resources they need to run thriving businesses.

At LPL, independence means that advisors and institution leaders have the freedom they deserve to choose the business model, services, and technology resources that allow them to run a thriving business. They have the flexibility to do business their way. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors and institutions, so they can take care of their clients.

For further information about LPL, please visit www.lpl.com.

Join LPL Financial: Where Your Potential Meets Opportunity

At LPL Financial, we believe that everyone deserves objective financial guidance. As the nation’s leading independent broker-dealer, we offer an integrated platform of cutting-edge technology, brokerage, and investment advisor services.

Why LPL?

• Innovative Environment: We foster creativity and growth, providing a supportive and responsive leadership team. Learn more about our leadership team here!

• Limitless Career Potential: Your career at LPL has no limits, only amazing potential. Learn more about our careers here!

• Unified Mission: We are one team on one mission—taking care of our advisors so they can take care of their clients. Learn more about our mission and values here!

• Impactful Work: Our size is just right for you to make a real impact. Learn more here!

• Commitment to Equality: We support workplace equality and embrace diverse perspectives and backgrounds. Learn more here!

• Community Focus: We care for our communities and encourage our employees to do the same. Learn more here!

• Benefits and Total Rewards: Our Total Rewards package goes beyond just compensation and insurance. It includes a mix of traditional and unique benefits, perks, and resources designed to enhance your life both at work and at home. Learn more here!

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.

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