Mgr, Supervision Advisor Communication

Lead with Purpose, Unlock Your Team’s Passion

At LPL, people leaders hold the key to the employee experience — shaping culture, driving performance, and guiding individuals to new heights. Because when that happens, we all win – clients, LPL, and most importantly our, employees.

If you're ready to lead with intention and discover what’s possible, LPL Financial invites you to apply today.
 

Responsibilities:

• Support and manage processes focused on reviewing marketing materials for existing offices with LPL Financial, Employee Advisors and Home Office Employees.

• Support and manage a high capacity team focused on multiple disciplines of supervision functions applying FINRA 2210 and SEC Marketing Reglations

• Quickly resolve escalations from business partners across the firm

• Conduct performance reviews with team members

• Provide coaching & help with employee growth aspirations

• Interact with advisors, business consultants and various internal departments as well as senior levels of management in fully evaluating and communicating review determination, as well as, coordination of special projects and investigations

• Work with assigned business units and provide supervisory expertise and consulting for projects and initiatives

• Assist with regulatory exams and requests as well as assist with other internal investigations and reviews

• Perform other duties and complete ad hoc 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

• 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

Core Competencies:

• Ability to manage work in a fast-paced, high-volume environment with schedule flexibility as business needs require.

• Demonstrated capability in customer engagement, collaboration, time management, organization, and clear oral and written communication.

• Ability to handle multiple tasks simultaneously, maintain attention to detail, identify issues, and ensure appropriate follow-up

• Experience working in Microsoft Excel, Word, and PowerPoint.

• Ability to deliver customer support and communication effectively with individuals across multiple levels of the organization.

Preferences:

• Licensing: 66 (or 63 and 65)

• Bachelor's Degree

Pay Range:

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 LPL Financial: Where Your Potential Meets Opportunity

At LPL Financial, we believe that everyone deserves objective financial guidance. As the nation’s leading independent broker-dealer, we offer an integrated platform of cutting-edge technology, brokerage, and investment advisor services.

Why LPL?

• Innovative Environment: We foster creativity and growth, providing a supportive and responsive leadership team. Learn more about our leadership team here!

• Limitless Career Potential: Your career at LPL has no limits, only amazing potential. Learn more about our careers here!

• Unified Mission: We are one team on one mission—taking care of our advisors so they can take care of their clients. Learn more about our mission and values here!

• Impactful Work: Our size is just right for you to make a real impact. Learn more here!

• Commitment to Equality: We support workplace equality and embrace diverse perspectives and backgrounds. Learn more here!

• Community Focus: We care for our communities and encourage our employees to do the same. Learn more here!

• Benefits and Total Rewards: Our Total Rewards package goes beyond just compensation and insurance. It includes a mix of traditional and unique benefits, perks, and resources designed to enhance your life both at work and at home. Learn more here!

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.

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