Sr. Supervisory Principal
LPL Financial(19 days ago)
About this role
The Senior Supervisory Principal at LPL Financial is a compliance expert responsible for supervising securities transactions and ensuring adherence to regulatory standards across brokerage and advisory accounts. The role involves oversight, review, and collaboration to maintain compliance and mitigate risks. It supports the company's commitment to ethical practices and regulatory compliance within the financial advisory industry.
Required Skills
- Compliance
- Supervision
- Regulatory Frameworks
- Financial Regulations
- Securities Transactions
- Account Review
- Wealth Management
- Financial Products
- Risk Management
- Collaboration
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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