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Sr Compliance Specialist at LPL Financial

Posted in Compliance 30+ days ago.

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Type: Full Time
Location: Fort Mill, South Carolina

Job Description:

A Senior Compliance Specialist 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. 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.

Essential Functions:

* Provide superior customer service to financial advisors and their staff, financial institutions, and home office employees by handling inquiries via phone and email, with a focus on overall service

* Research complex situations, set customer expectations, and define the actions necessary to resolve the situation

* Communicate operational and financial industry policies and procedures

* Answer 30 - 40 incoming calls and 15 20 emails per day from Advisors and their support staff, Financial Institutions and other members of the firm.

Other Job Duties:

* Assume ownership of the inquiry and see it through to a timely resolution

* Communicate with internal departments to improve processes and timely processing

* Escalate items to Marketing Regulatory Review Management in a timely manner when necessary

* Acting proactively to identify any potential issues

* Ability to work in a fast paced environment to handle multiple and competing deadlines and handle high volume


* Bachelor's degree preferred

* 1-2 years of previous customer service experience required

* Industry experience required

* Marketing Regulatory Review experience considered a plus

* S7 and S24 considered a plus

* Knowledge of FINRA, SEC, MSRB and State rules and regulations

* Strong MS Office skills, Salesforce experience preferred

* Strong customer focus, excellent verbal and written communication skills, a strong work ethic, and extremely organized


LPL Financial is a leader in the retail financial advice market and the nation s 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 life s 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.