About this role
The Examiner role at LPL Financial focuses on ensuring compliance with federal, state, and company regulations in the financial services industry. This position requires consulting with branch managers and advisors to maintain adherence to guidelines, while also conducting thorough examinations of branch activities. Travel may be required as part of the role, which is based in Tempe, Arizona.
Required Skills
- Compliance
- Regulatory Adherence
- Audit
- Client Consulting
- Risk Assessment
Qualifications
- Bachelor's Degree
- 3+ Years Experience in Financial Services
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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