Top 157 Lpl Jobs | SimplyHired

Senior Advisor Communications & OBA Principal
LPL Financial Corp —Fort Mill, SC
- $74,057 - $123,497 a year
- Full-time
- Microsoft Word
- Research
- Mid-level
- Health insurance
- Paid time off
Quick Apply
10d
VP, Regional Banking and Lending Consultant
LPL Financial —San Diego, CA
- $120,304 - $200,438 a year
- Full-time
- Finance
- Bachelor's degree
- Continuous improvement
- Health insurance
- Paid time off
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5d
Associate Financial Advisor II
LPL Financial —Farmington, CT
- $82,200 - $137,000 a year
- Full-time
- Microsoft Excel
- Business development
- Bachelor's degree
- Health insurance
- Paid time off
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Associate Data Recon Analyst, Performance and Data Recon
LPL Financial Corp —Tempe, AZ
- $23.27 - $38.82 an hour
- Full-time
- Hybrid work
- Mid-level
- Office
- Microsoft Office
- Health insurance
- Paid time off
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13d
Banking Service Associate Professional
LPL Financial —Tempe, AZ
- $21.10 - $35.16 an hour
- Full-time
- PMP
- Mid-level
- Finance
- Health insurance
- Paid time off
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5d
Manager, Service Center
LPL Financial Corp —Tempe, AZ
- $66,744 - $111,240 a year
- Full-time
- Supervising experience
- Bachelor's degree
- Continuous improvement
- Health insurance
- Paid time off
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3d
Sr. Conference Planner
LPL Financial —Fort Mill, SC
- $73,439 - $122,364 a year
- Full-time
- Mid-level
- 3 years
- Bachelor's degree
- Health insurance
- Paid time off
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Sr. Recruiting Consultant
LPL Financial Corp —Fort Mill, SC
- $70,967 - $118,347 a year
- Full-time
- Microsoft Word
- Microsoft Outlook
- Customer service
- Health insurance
- Paid time off
Quick Apply
11d
Supervisory Principal
LPL Financial —Fort Mill, SC
- $62,727 - $104,545 a year
- Full-time
- Microsoft Excel
- 5 years
- Office
- Health insurance
- Paid time off
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Executive Assistant
LPL Financial —Fort Mill, SC
- $26.49 - $44.12 an hour
- Full-time
- 6 years
- Office
- Senior level
- Health insurance
- Paid time off
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VP, Business Solutioning
LPL Financial —Fort Mill, SC
- $149,762 - $249,569 a year
- Full-time
- 7 years
- Office
- Analysis skills
- Health insurance
- Paid time off
Quick Apply
Supervision Performance & Automation Analyst
LPL Financial —Fort Mill, SC
- $63,860 - $106,399 a year
- Full-time
- Mid-level
- SQL
- Bachelor's degree
- Health insurance
- Paid time off
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Regional Director - 1099
LPL Financial —Trenton, NJ
- $235,150 - $391,900 a year
- Full-time
- Research
- Bachelor's degree
- Continuous improvement
- Health insurance
- Paid time off
Quick Apply
VP, Product Manager
LPL Financial —Fort Mill, SC
- $135,960 - $226,600 a year
- Full-time
- Computer Science
- Finance
- Analysis skills
- Health insurance
- Paid time off
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VP Business Design and Solutions
LPL Financial —Fort Mill, SC
- $149,762 - $249,569 a year
- Full-time
- Microsoft Excel
- Office
- Analysis skills
- Health insurance
- Paid time off
Quick Apply
AVP, Transitions Administrative Manager
LPL Financial —Fort Mill, SC
- $99,086 - $165,109 a year
- Full-time
- 3 years
- Finance
- Administrative experience
- Health insurance
- Paid time off
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VP Data Strategist, Supervision
LPL Financial Corp —Fort Mill, SC
- $136,269 - $227,115 a year
- Full-time
- 5 years
- Senior level
- Communication skills
- Health insurance
- Paid time off
Quick Apply
AVP, Annuity & Insurance Growth - Advisor Engagement
LPL Financial —Fort Mill, SC
- $109,283 - $182,104 a year
- Full-time
- 5 years
- Data analysis skills
- Finance
- Health insurance
- Paid time off
Quick Apply
Wealth Associate
LPL Financial —Rockville, MD
- $80,443 - $134,003 a year
- Full-time
- Microsoft Word
- Microsoft Excel
- 5 years
- Health insurance
- Paid time off
Quick Apply
12d
Sr Analyst - Transformation Strategy
LPL Financial —Fort Mill, SC
- $91,670 - $152,852 a year
- Full-time
- Mid-level
- 3 years
- Finance
- Health insurance
- Paid time off
Quick Apply

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Senior Advisor Communications & OBA Principal

LPL Financial Corp -
Fort Mill, SC

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Job Details

Full-time
$74,057 - $123,497 a year
10 days ago

Benefits

Stock options
Health insurance
Paid time off
401(k) matching
Volunteer time off

Qualifications

Microsoft Word
Client relationship management
Customer relationship building
Presentation software
Phone communication
Securities & Exchange Commission
Research
Series 7
Securities law compliance support
Securities law
Experience practicing in the securities industry
Client interaction via phone calls

Full 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 Advisor Communications & OBA 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:

Bachelor’s Degree Preferred
3+ years of prior financial services and advertising/marketing compliance review experience
Prior experience in a client-facing role – very comfortable on the phone and be able to explain the why behind, complex issues, ask open ended questions.
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, 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.
Excellent customer service skills and the ability to communicate effectively with individuals at various levels.

Preferences:

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 – 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

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