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
California Compliance Jobs at LPL Financial
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Analyst, Compliance
Location: CA-San Diego 12/12/2019 R-008323 -
VP, Technology Compliance Testing
Locations: SC-Fort Mill , CA-San Diego 12/11/2019 R-007808 -
Manager, Home Office Supervision
Location: CA-San Diego 12/03/2019 R-008314 -
Senior Supervisory Principal
Locations: CA-Remote , CA-San Diego 11/22/2019 R-008248 -
VP, Policy Management
Locations: SC-Fort Mill , MA-Boston , CA-San Diego 11/22/2019 R-008196 -
AVP, Govn, Risk & Compliance
Locations: SC-Fort Mill , CA-San Diego 11/13/2019 R-007603 -
VP, Compliance Risk Assessment & Testing
Locations: SC-Fort Mill , CA-San Diego 10/23/2019 R-007967 -
AVP, Govn, Risk & Compliance
Location: CA-San Diego 10/08/2019 R-007816 -
SVP, Advisor Supervision
Locations: SC-Fort Mill , CA-San Diego 09/16/2019 R-007609 -
SVP, Operations and FINOP Compliance
Locations: SC-Fort Mill , CA-San Diego 08/28/2019 R-007476