AVP, Governance and Controls - Compliance Education
LPL Financial(1 month ago)
About this role
The AVP position at LPL Financial is responsible for overseeing training and education programs for compliance staff, ensuring adherence to regulatory requirements. This vital role streamlines annual training processes for registered representatives and enhances compliance controls, contributing to the effectiveness of the firm's education initiatives.
Required Skills
- Training Programs
- Compliance Management
- Tableau Reporting
- Regulatory Adherence
- Project Management
Qualifications
- Bachelor’s Degree
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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