Registrations & Licensing Leader
LPL Financial
LPL Financial in Tempe, AZ is seeking a Manager, Registrations to lead a team responsible for licensing, appointment, and registration of financial professionals and firms, ensuring compliance with FINRA, SEC, and state regulations. You will develop workflows, stay current with regulatory changes, collaborate with legal and compliance, and provide training on registration requirements, while delivering accurate reports to senior management. #J-18808-Ljbffr LPL Financial
Vacancy posted 3 days ago
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