SR ADVISOR COMMUNICATION PRINCIPAL

Job Overview :

Sr Advisor Communication Principals (ACPs) will have an understanding of the financial services industry; rules, regulations, and policies of LPL Financial and our various regulatory bodies;

and excellent customer service skills.

A successful candidate is consultative in working with their advisors. ACPs should understand the structure and needs of the individual advisors and offices they support and drive any needed solutions to ensure appropriate risk mitigation tactics while delivering exceptional customer service.

An ideal candidate would display exceptional customer service and relationship management skills and should exhibit strong acumen in organization, prioritization, efficiency, and risk-based analysis.

An ACP should be adaptable and flexible and should be willing to work in a fast-paced, highly complex and variable environment.

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 want strong collaborators who can deliver a world-class client experience. We are looking for people who thrive in a fast-paced environment, are client-focused, team oriented, and are able to execute in a way that encourages creativity and continuous improvement.

Requirements :

5+ years in financial services, most preferably in Supervision or Compliance roles

3+ years customer service, and / or relationship management experience in investment services

Licensing Requirements : FINRA Series 7; 24 and Series 66 or 63

Customer Focus

Complex Problem Solving

Planning & Alignment

Time Management & Organization

Proactive Service & Consultation Mindset

Risk Management

Preferences :

Strong collaboration and organizational skills

Innovation

Pay Range :

$71,900.00 - $119,900.00Actual 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!