Compliance Supervisory Principal: Onboarding & OBA
LPL Financial
LPL Financial in Tempe, AZ is seeking a Supervisory Principal to oversee onboarding and Outside Business Activities reviews, ensuring compliance with FINRA/SEC rules and firm policies. You will partner with multiple departments, handle OBA and PST requests, and support regulatory inquiries, investigations, and policy enhancements. Strong communication, regulatory knowledge, and licensing (Series 7/24/63/66) are required; salary and benefits reflect a competitive rewards package. #J-18808-Ljbffr LPL Financial
Vacancy posted 4 days ago
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