Regional Supervisory Leader - Home Office Compliance
LPL Financial
LPL Financial is seeking a Home Office Supervision Principal to oversee regional HOS advisors and OSJ managers, ensuring compliance with FINRA and SEC rules while delivering outstanding client service. The role requires 7+ years in financial services, 3+ years in supervision, a Bachelor's degree, licensing (Series 7/9/10 or 24; Series 4/53; Series 66), and proficiency in Microsoft Office. #J-18808-Ljbffr LPL Financial
Vacancy posted 2 days ago
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