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
Compliance Jobs at LPL Financial
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VP, Compliance Governance & Program Assessment
Locations: SC-Fort Mill , CA-San Diego 01/14/2021 R-011951 -
Senior Analyst, eComm Product Development
Locations: CA-San Diego , SC-Fort Mill 01/12/2021 R-012382 -
Senior Supervisory Principal
Locations: MA-Remote , CT-Remote , NH-Remote , NY-Remote ,RI-Remote 01/12/2021 R-012451 -
VP, Head of Surveillance
Locations: SC-Fort Mill , CA-San Diego 01/12/2021 R-012440 -
Senior Supervisory Principal
Location: CA-Remote 01/12/2021 R-012450 -
Senior Supervisory Principal
Location: AZ-Remote 01/07/2021 R-012390 -
AVP, Corporate Strategy
Location: CA-San Diego 01/05/2021 R-011490 -
Senior Data Analyst - Client Domain
Locations: SC-Fort Mill , CA-Remote 12/21/2020 R-010772 -
Data Analyst - Financial Activity Domain
Locations: SC-Fort Mill , CA-Remote 12/21/2020 R-010776 -
Data Analyst - Advisor Domain
Locations: SC-Fort Mill , CA-Remote 12/21/2020 R-010774