Compliance

When you opt for a career in Risk Management and Compliance at LPL Financial, you will be making a contribution that is vital to the success, stability, and future of our organization. Our crucial functions are to identify, assess, analyze, and control risk that affects every aspect of our business. This includes ensuring compliance with all internal and external standards and regulations. Members of our team have a broad range of responsibilities including:

• Advisory Review
• Advisory Compliance
• Education and Communications
• Financial Intelligence Unit
• Supervision
• Privacy and Security
• Surveillance