Summary
Overview
Work History
Education
Skills
Securities Licenses
Certification
Timeline
Generic

JACKIE LYONS

Beaverton,OR

Summary

Diligent, competent, risk-focused leader who has achieved success in a variety of roles with increasing levels of responsibility. An effective communicator and team-player with strong analytical and organizational skills.

Overview

14
14
years of professional experience
1
1
Certification

Work History

AVP, Advisory Compliance

LPL Financial
04.2023 - Current
  • Managed Advisory Compliance projects efficiently ensuring timely delivery and high-quality results.
  • Analyzed data to identify areas of improvement, implementing changes that resulted in greater operational efficiency.
  • Established policies and procedures to meet firm-wide initiatives.
  • Enhanced team productivity by providing training and mentorship to staff members.


Senior Analyst, Advisory Compliance

LPL Financial
03.2018 - 04.2023
  • Primary responsibilities include Code of Conduct and Code of Ethics distribution and compliance. Adept at analyzing data, composing written policies and procedures and performing testing and oversight of the firm's advisory activities.
  • Perform risk analysis and process analysis with a view on operational efficiencies within Advisory Compliance.
  • Provide guidance on established policies and procedures.
  • Assist in ADV 1A Quarterly reporting.

Advertising Review Analyst

National Planning Corporation (NPC)
10.2016 - 12.2017
  • Detailed analytical review of over 1300 independent and hybrid RIA advisors' marketing materials to ensure adherence to FINRA Rule 2210, SEC guidelines, current DOL communications and other regulatory compliance requirements.
  • Reviews included high volume of written communications, social media profiles, websites, radio shows, and product sponsor materials.
  • As social media subject matter expert, developed, implemented and trained internal and external personnel on policies and procedures for all social media and subsequent monitoring of all social media profiles.
  • Recommended and implemented enhanced efficiency in various analyst processes.
  • Represented the ARU team during new hire training for all field administrative staff and new advisors.
  • Presented material to new field personnel in marketing compliance processes and procedures.
  • Coordinated the execution of U5's in WebCRD for advisors.

Compliance Analyst

Centralized Consulting Group LPL Financial LLC
07.2014 - 10.2016
  • Part of a strategic, fast-paced, flexible team within Governance Risk & Compliance (GRC) designed to provide short-term labor needs within business units.
  • Monitored and analyzed risk potential in Surveillance, Supervision, Marketing Regulatory Review and various Centralized Supervision Units within GRC.
  • Led project of the in-depth analysis of the Registrations business unit to assist management in determining the stream-lining of processes and appropriate head-count for various functions within their team.
  • Active in corporate-wide initiative of email account conversions of advisors to new platform in response to FINRA corrective action.
  • Created and published quarterly newsletter for CCG Team with a focus on regulatory and internal LPL changes and updates.
  • Coordinated weekly team meetings, including arranging guest speakers from other business units within LPL.

Compliance & Registrations Service Center LPL Financial
01.2010 - 07.2014
  • Supported over 13,000 LPL financial advisors with general Compliance and Registrations needs.
  • Emphasis on interpretation of FINRA and SEC guidelines and LPL policies.
  • Assisted OSJs and advisors with procedures for advisory account reviews, ADV IIB brochures, social media policies, investment policies, annuity and alternative investment guidelines.
  • Instrumental in securities registrations for LPL advisors and administrative personnel, including insurance licensing policies and procedures.

Education

Bachelor of Science - Marketing

University of Phoenix
San Diego, CA

Skills

  • Project Management
  • Process Improvement
  • Cost Reduction
  • Workflow Analysis
  • Strategic Internal Partnerships
  • Teamwork and Collaboration
  • Effective Leadership

Securities Licenses

Series 7, 66, 24, 53


Certification

PMP, Project Management Professional

CSM, Certified Scrum Master

Timeline

AVP, Advisory Compliance

LPL Financial
04.2023 - Current

Senior Analyst, Advisory Compliance

LPL Financial
03.2018 - 04.2023

Advertising Review Analyst

National Planning Corporation (NPC)
10.2016 - 12.2017

Compliance Analyst

Centralized Consulting Group LPL Financial LLC
07.2014 - 10.2016

Compliance & Registrations Service Center LPL Financial
01.2010 - 07.2014

Bachelor of Science - Marketing

University of Phoenix

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