Senior Advisor Communications & OBA Supervisory Principal

Where Ambition Meets Innovation

Build a career that matches all your initiative with an impressive dose of innovation. From cutting-edge resources and a collaborative environment to the freedom to make an impact and more, you’ll find the ingredients you need at LPL Financial to shape your success while helping clients pursue their financial goals

Job Overview

The Senior Advisor Communications & OBA Supervisory 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.

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

• 3+ years of prior financial services and advertising/marketing compliance review experience

• Prior experience in a client-facing role

• 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

• Oral and written communication skills.

• Ability to multi-task, attention to detail, problem-solving and follow-up skills are essential for this position.

• Working knowledge of Excel, Word, and PowerPoint.

• Customer service skills and the ability to communicate effectively with individuals at various levels.

Preferences:

• Licensing: 66 (or 63 and 65)

• Bachelor’s Degree Preferred

 

Pay Range:

$74,057.00 - $123,497.00
 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!
 

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(6) , LPL supports over 32,000 financial advisors and the wealth management practices of approximately 1,100 financial institutions, servicing and custodying approximately $2.3 trillion in brokerage and advisory assets on behalf of approximately 8 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. For further information about LPL, please visit www.lpl.com.

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 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.

EAC 5.19.26