Kylie Slocum
Supervisory Principal, Onboarding Supervision @LPL Financial
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WORK HISTORY
Supervisory Principal, Onboarding Supervision @LPL Financial
Lead compliance reviews for advisor marketing materials and support onboarding processes to ensure accurate, timely, and regulatory‑aligned transitions. Partner closely with advisors and internal teams to deliver high‑touch, solutions‑focused support- Review advisor marketing materials in accordance with FINRA Rule 2210- Provide guidance to advisor prospects and onboarding partners during transitions- Collaborate across departments to resolve issues quickly and accurately- Support process improvements and workflow efficiency- Participate in mentorship initiatives to support early‑career talent
EDUCATION
AIB College of Business
Associate's degree, Realtime Reporting - Judicial
SKILLS
ABOUT KYLIE SLOCUM
Supervisory Principal with experience in marketing review, advisor onboarding, complex product oversight, and regulatory interpretation. I support financial advisors by delivering high‑touch, accurate, and timely compliance guidance while partnering across departments to resolve issues efficiently.My background spans 18 years in financial services, compliance, marketing, and corporate events, giving me a unique blend of technical expertise, relationship management, and project coordination. I’m known for my collaborative approach, strong communication skills, and commitment to creating a smooth, supportive experience for advisors and internal partners.
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