About this role
Senior Advisor Communications & OBA Principal at Lplfinancial. Location: Fort Mill or Charlotte or Tempe. Role: evaluating materials, reviewing obas, consulting advisors Requirements: 3+ years financial services and marketing/compliance review experience; Series 7 and 24 required; Bachelor's preferred; client-facing experience; knowledge of FINRA/SEC/state rules; proficiency with Microsoft Office. Category: Legal and Compliance Seniority: Mid Level Tools: Microsoft Excel, Microsoft Word, Microsoft PowerPoint Certifications: series 7, series 24, series 66, series 63, series 65 Commitment: Full Time Workplace: Onsite Languages: English