AVP, Compliance Testing
LPL Financial(27 days ago)
About this role
The Assistant Vice President (AVP), Compliance Testing at LPL Financial leads the Compliance Testing function to ensure the effectiveness of the firm’s compliance control framework. The role focuses on overseeing execution of risk-based testing engagements, improving testing methodology, and communicating results to senior leadership to support enterprise compliance objectives.
Required Skills
- Compliance Testing
- Regulatory Oversight
- Risk Assessment
- Testing Methodology
- Leadership
- Problem Solving
- Communication
- Stakeholder Management
- Excel
- SharePoint
+3 more
Qualifications
- Bachelor's Degree in Business or Finance
About LPL Financial
lpl.comA leading wealth management firm for independent advisors across the U.S., LPL’s technology and resources can help you and your clients succeed. Learn more.
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