LPL Financial
AVP - Marketing Regulatory Review
LPL Financial, Fort Mill, South Carolina, United States, 29715
Overview
What if you could build a career where ambition meets innovation? At LPL Financial, we empower professionals to shape their success while helping clients pursue their financial goals with confidence. What if you could have access to cutting-edge resources, a collaborative environment, and the freedom to make an impact? If you're ready to take the next step, discover what’s possible with LPL Financial.
Job Overview LPL Financial is seeking an
Assistant Vice President, Marketing Regulatory Review (MRR)
to lead a high-performing team responsible for ensuring that marketing materials and communications distributed by
Prudential Advisors and Prudential Financial Home Office staff
comply with FINRA, SEC, and state regulations. This role requires a
strategic thinker
with a
solution-oriented and client-centric mindset , capable of enabling business growth while maintaining regulatory integrity. The AVP will partner closely with senior leaders across departments in a
fast-paced, dynamic environment , driving alignment between compliance requirements and business objectives.
Responsibilities
Lead the
program , ensuring compliance with advertising and marketing regulations, including digital platforms, social media, public appearances, and performance advertising.
Develop and implement policies, procedures, and controls that support compliant and effective communication strategies.
Provide strategic oversight and regulatory guidance for high-impact marketing initiatives, including:
Third-party awards and designations
(e.g., Forbes, Barron’s, Financial Times) to ensure accurate representation and compliance with disclosure requirements.
Recruiting campaigns
targeting financial professionals, ensuring messaging aligns with regulatory standards and firm values.
Brand and thought leadership initiatives
that elevate advisor visibility while maintaining compliance.
Build and nurture a team of professionals who provide timely, accurate, and business-aligned reviews of communications.
Foster a culture of accountability, continuous improvement, and client service within the team.
Collaborate with cross-functional leaders to identify and implement control enhancements and business practices that align with regulatory expectations.
Manage resolution of issues identified internally or by regulators, auditors, or third-party assessments.
Serve as a strategic advisor to firm leadership and governance committees on matters related to public communications.
Represent the firm in interactions with regulators and auditors, ensuring transparency and responsiveness.
What we’re 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
FINRA Series 7 and 24
8+ years of experience in financial services or a regulatory agency
5–7 years of experience with communications regulations and requirements
Deep understanding of FINRA, SEC, and state rules governing public communications
Proven ability to think strategically and execute tactically in a complex regulatory environment
Strong attention to detail and a proactive approach to problem-solving
Demonstrated success in managing multiple priorities under tight deadlines
Experience influencing outcomes across organizational boundaries and leading through others
Comfortable presenting to and engaging with C-suite and senior leadership
Pay Range:
$101,625-$169,375/year
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, LPL supports over 29,000 financial advisors and the wealth-management practices of 1,100 financial institutions, servicing and custodying approximately $1.9 trillion in brokerage and advisory assets on behalf of approximately 7 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.
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 the site at this time: LPL.com.
Join LPL Financial: Where Your Potential Meets Opportunity 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.
EAC1.22.25
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Job Overview LPL Financial is seeking an
Assistant Vice President, Marketing Regulatory Review (MRR)
to lead a high-performing team responsible for ensuring that marketing materials and communications distributed by
Prudential Advisors and Prudential Financial Home Office staff
comply with FINRA, SEC, and state regulations. This role requires a
strategic thinker
with a
solution-oriented and client-centric mindset , capable of enabling business growth while maintaining regulatory integrity. The AVP will partner closely with senior leaders across departments in a
fast-paced, dynamic environment , driving alignment between compliance requirements and business objectives.
Responsibilities
Lead the
program , ensuring compliance with advertising and marketing regulations, including digital platforms, social media, public appearances, and performance advertising.
Develop and implement policies, procedures, and controls that support compliant and effective communication strategies.
Provide strategic oversight and regulatory guidance for high-impact marketing initiatives, including:
Third-party awards and designations
(e.g., Forbes, Barron’s, Financial Times) to ensure accurate representation and compliance with disclosure requirements.
Recruiting campaigns
targeting financial professionals, ensuring messaging aligns with regulatory standards and firm values.
Brand and thought leadership initiatives
that elevate advisor visibility while maintaining compliance.
Build and nurture a team of professionals who provide timely, accurate, and business-aligned reviews of communications.
Foster a culture of accountability, continuous improvement, and client service within the team.
Collaborate with cross-functional leaders to identify and implement control enhancements and business practices that align with regulatory expectations.
Manage resolution of issues identified internally or by regulators, auditors, or third-party assessments.
Serve as a strategic advisor to firm leadership and governance committees on matters related to public communications.
Represent the firm in interactions with regulators and auditors, ensuring transparency and responsiveness.
What we’re 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
FINRA Series 7 and 24
8+ years of experience in financial services or a regulatory agency
5–7 years of experience with communications regulations and requirements
Deep understanding of FINRA, SEC, and state rules governing public communications
Proven ability to think strategically and execute tactically in a complex regulatory environment
Strong attention to detail and a proactive approach to problem-solving
Demonstrated success in managing multiple priorities under tight deadlines
Experience influencing outcomes across organizational boundaries and leading through others
Comfortable presenting to and engaging with C-suite and senior leadership
Pay Range:
$101,625-$169,375/year
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, LPL supports over 29,000 financial advisors and the wealth-management practices of 1,100 financial institutions, servicing and custodying approximately $1.9 trillion in brokerage and advisory assets on behalf of approximately 7 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.
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 the site at this time: LPL.com.
Join LPL Financial: Where Your Potential Meets Opportunity 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.
EAC1.22.25
#J-18808-Ljbffr