Compliance Lead
PVH (Tommy Hilfiger/Calvin Klein)
LPL Financial is seeking a Supervisory Principal to oversee due diligence reviews for prospective advisors and to ensure compliance with FINRA, SEC and state rules. The role partners with multiple departments and Prudential to facilitate onboarding and ongoing supervision. The ideal candidate has 3+ years in financial services compliance, with experience in OBA and PST reviews, and holds FINRA Series 7, 24, and 63 or 66 licenses. Strong communication and policy skills are essential. #J-18808-Ljbffr
Vacancy posted 3 hours ago
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