Regional Supervisory Principal: Compliance & Leadership
LPL Financial LLC
LPL Financial seeks a Regional Supervisory Principal, Home Office Supervision, to oversee HOS advisors and OSJ managers in their designated region and ensure regulatory compliance across the supervisory framework. You will resolve escalated issues, educate and support supervisory teams, and ensure adherence to FINRA, SEC, and internal standards while supporting a broad client-facing supervision program. #J-18808-Ljbffr LPL Financial LLC
Vacancy posted 2 days ago
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