Job Overview
Location
Remote USA
Job Type
Full-time
Category
HR & Recruiting
Date Posted
April 18, 2026
Full Job Description
đź“‹ Description
- • Lead and manage a team responsible for reviewing marketing materials for financial advisors and home office employees, ensuring compliance with FINRA 2210 and SEC marketing regulations.
- • Support and oversee a high-capacity supervision team, resolve escalations from business partners, conduct performance reviews, and provide coaching to support employee growth.
- • Interact with advisors, business consultants, internal departments, and senior management to communicate review determinations and coordinate special projects and investigations.
- • Work with assigned business units to provide supervisory expertise, assist with regulatory exams and internal investigations, and complete ad hoc projects as assigned.
- • At LPL Financial, people leaders shape culture, drive performance, and guide individuals to new heights—because when employees thrive, clients, the firm, and everyone wins.
- • This role offers the opportunity to lead with intention in a fast-paced, team-oriented environment where integrity, collaboration, and continuous improvement are valued.
- • You will develop leadership and compliance expertise while contributing to a culture where winning together and sharing joy in work are core principles.
- • Gain experience in financial services compliance, regulatory oversight, and people management within a leading independent broker-dealer serving over 32,000 advisors and 8 million Americans.
🎯 Requirements
- • 3+ years of prior financial services and advertising/marketing compliance review experience
- • Prior experience in a client-facing role
- • Confident on the phone, able to break down complex topics, and ask thoughtful, open‑ended questions
- • Demonstrated knowledge of FINRA, SEC, and State rules and regulations
- • Licensing Requirement: Series 7, 24
- • Bachelor’s Degree (preferred)
- • Licensing: 66 (or 63 and 65) (preferred)
🏖️ Benefits
- • Competitive pay range: $81,267–$135,445 per year
- • 401K matching
- • Health benefits
- • Employee stock options
- • Paid time off
- • Volunteer time off
- • Access to LPL’s Total Rewards package, designed to support success at work, at home, and at play
Skills & Technologies
About LPL Financial LLC
LPL Financial is a leading independent broker-dealer and registered investment advisor in the United States. The company provides a comprehensive platform of technology, research, investment products, and practice management services to financial advisors. LPL Financial enables advisors to manage their clients' investments and financial plans, offering support for retirement planning, wealth management, and insurance solutions. Their business model focuses on empowering independent financial professionals to serve their clients effectively, fostering long-term relationships and financial well-being. They operate within the financial services and wealth management industry, serving a broad network of advisors and their clients across the nation.
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