AVP - Marketing Regulatory Review

Assistant Vice President, Marketing Regulatory Review (MRR)

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 include :

• Leading the program, ensuring compliance with advertising and marketing regulations, including digital platforms, social media, public appearances, and performance advertising.
• Developing and implementing policies, procedures, and controls that support compliant and effective communication strategies.
• Providing strategic oversight and regulatory guidance for high-impact marketing initiatives, including third-party awards and designations, recruiting campaigns, and brand and thought leadership initiatives.
• Building and nurturing a team of professionals who provide timely, accurate, and business-aligned reviews of communications.
• Fostering a culture of accountability, continuous improvement, and client service within the team.
• Collaborating with cross-functional leaders to identify and implement control enhancements and business practices that align with regulatory expectations.
• Managing resolution of issues identified internally or by regulators, auditors, or third-party assessments.
• Serving as a strategic advisor to firm leadership and governance committees on matters related to public communications.
• Representing the firm in interactions with regulators and auditors, ensuring transparency and responsiveness.

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 include :

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!

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.