An Analyst on the Marketing Regulatory Review Service Team will provide superior customer service to a large base of financial advisors and their staff, financial institutions, and home office employees as the first line of contact for various Advertising Compliance related issues while acting as a resource, lead, and mentor to the service team by assisting with questions, handling escalated items, and facilitating information distribution. This position will serve as a resource for the Marketing Regulatory Review team, whose focus is primarily to ensure compliance with applicable industry rules (State, SEC and FINRA regulations) and company policies regarding Communications with the Public.
You must possess strong problem solving skills, great customer service and be willing to take ownership of issues through resolution and have the ability to coordinate effectively with internal departments to improve processes.
Other Job Duties:
About LPL Financial:
LPL Financial is a leader in the retail financial advice market and the nations largest independent broker/dealer*. We serve independent financial advisors and financial institutions, providing them with the technology, research, clearing and compliance services, and practice management programs they need to create and grow thriving practices. LPL enables them to provide objective guidance to millions of American families seeking wealth management, retirement planning, financial planning and asset management solutions. LPL and its affiliates have more than 3,700 employees with primary offices in Boston, Charlotte, and San Diego.
If you join LPL, you will join a culture that believes in delivering a world-class client experience and looks to all employees to contribute to that goal by sharing their creativity, experience, and passion for continuous improvement. As a destination of choice, our top priorities are growth and development, social responsibility, and financial health for our employees.
We offer competitive compensation and industry leading benefits, including a wellness facility with onsite fitness classes, healthy meal choices, and a walk-in clinic. We support employee financial health through a 401k match, ESPP, and employee discounts. Work/life balance is our foundation and is supported through paid holidays, and paid time off (including time to volunteer). We foster a diverse work environment through Employee Resource Groups and diverse strategic partnerships.
Join the LPL team and help us make a difference by turning lifes aspirations into financial realities. Please login or create an account to apply to this position. Principals only. EOE
*As reported by Financial Planning magazine, June 1996-2017, based on total revenue.Posted YesterdayFull timeR-008300
As the nations leading independent broker-dealer*, we offer an
integrated platform of proprietary technology, brokerage, and
investment advisor services to more than 14,000 financial
advisors and approximately 700 financial institutions, enabling
them to help their clients turn life's aspirations into financial
realities. We also support more than 4,000 other financial
advisors with customized clearing solutions, advisory
platforms, and technology.
Weve told you what we do for our customers, but what can we
do for you?
Well provide you with a work environment that encourages your
creativity and growth, a leadership team thats supportive and
responsive, and the opportunity to create a career that has no
limits, only amazing potential.
*As reported by Financial Planning magazine, June 1996-2017,
based on total revenue.