Senior Advertising Supervision Principal

lplfinancial; Fort Mill (SC); On-site; USD 74,000 - 123,000; Full time

Benefits offered by this job

401K matching

Health benefits

Employee stock options

Paid time off

Volunteer time off

Job summary

LPL Financial Holdings Inc. is seeking a Senior Advertising Supervision Principal to review and approve marketing materials for Financial Advisors and home office staff.

This role emphasizes regulatory compliance and proactive guidance to ensure client communications meet standards. You will evaluate submissions, advise on changes, respond to regulatory inquiries, and help shape policy updates in a fast-paced, collaborative environment.

Qualifications

• 3+ years of experience in financial services and advertising/marketing compliance review.
• Experience in a client-facing role.
• Knowledge of FINRA, SEC, and State rules and regulations.
• Licensing: Series 7, 24

Responsibilities

• Evaluate marketing materials and other forms of public communications to provide principal approval or guidance for changes.
• Consult with advisors on their marketing initiatives
• Research and address instances where firm policies are not followed
• Assist with research and response to regulatory inquiries including branch exams
• Contribute to department initiatives that may include policy updates and training

Skills

Advertising compliance

Financial services experience

Client-facing

Regulatory knowledge

Education

Bachelor's Degree

Tools

Excel

Word

PowerPoint

Job description

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 Advertising Supervision Principal will review and approve marketing material requests from Financial Advisors and home office employees.

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.
• Consult with advisors on their marketing initiatives
• 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
• Ability to confidently engage with stakeholders by phone, explain complex issues in a clear and concise manner, articulate the rationale behind decisions or processes, and utilize open-ended questioning techniques to gather information and drive effective conversations.
• Knowledge of FINRA, SEC, and State rules and regulations
• Licensing: 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, Excellent oral and written communication skills.
• Ability to multi-task, strong attention to detail, excellent 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

• Bachelor's Degree
• Licensing: 66 (or 63 and 65)

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.

• 401K matching, health benefits, employee stock options, paid time off, volunteer time off, and more.

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. 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.