Home
Jobs
Saved
Resumes
Senior Advisor, Communications – OBA Supervisory Principal at LPL Financial | JobVerse
JobVerse
Home
Jobs
Recruiters
Companies
Pricing
Blog
Jobs
/
Senior Advisor, Communications – OBA Supervisory Principal
LPL Financial
Website
LinkedIn
Senior Advisor, Communications – OBA Supervisory Principal
North Carolina, United States of America
Full Time
1 week ago
$74,057 - $123,497 USD
Visa Sponsor
Apply Now
Key skills
Communication
Time Management
Collaboration
About this role
Role Overview
Review and approve marketing materials and public communications
Review Outside Business Activity and Private Securities Transaction requests
Serve as a Subject Matter Expert (SME)
Evaluate marketing materials and provide guidance on changes for approval
Review outside business activities for compliance
Consult with advisors on marketing initiatives and transactions
Assist with regulatory inquiries
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
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.
Benefits
401K matching
health benefits
employee stock options
paid time off
volunteer time off
Apply Now
Home
Jobs
Saved
Resumes