Registration Compliance Manager — Lead & Optimize
LPL Financial
LPL Financial is seeking a Manager, Registrations to lead a team responsible for licensing, appointment, and registration of financial professionals and firms. You will ensure compliance with FINRA, SEC, and state regulations, oversee submission of registration forms, and provide guidance on registration requirements. The role emphasizes collaboration with legal and compliance, process improvement, and training delivery. #J-18808-Ljbffr LPL Financial
Vacancy posted 5 days ago
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